AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Dain Rauscher Incorporated, Claimant and Counter-Respondent, v. No. 98-00118 Edward J. Schiavi, Respondent and Counter-Claimant. REPRESENTATION OF PARTIES Claimant and Counter-Respondent Dain Rauscher Incorporated ("Claimant") was represented by James M. McCown, Esq. of Jackson Walker L.L.P. located in Dallas, Texas. Respondent and Counter-Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donald W. Thomas, individually and as Trustee of the Thomas Revocable Trust and D.W. Thomas Companies, Inc., Claimants v. Wedbush Morgan Securities Inc., Respondent Case Number: 01-01755 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants/Counter-Respondents: JeffDennis Ferentz, Esq. Greenbaum & Ferentz LLP Newport Beach, California For Respondent/C

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant James V. Kohlhaas 98-00117 Name of Respondents Investors Associates Incorporated Leonard Sharfman REPRESENTATION James Kohlhaas ("Claimant") appeared pro se. Investor Associates, Inc. ("Investor Associates") did not appear. Leonard Sharfman ("Sharfman") appeared pro se. CASE INFORMATION Claimant filed the Statement of Claim on January 7, 1998.

N.A.S.D. REGULATION, INC. AWARD CASE: 98-0102 Farsight Financial Services, L.P. claimant vs. Hieu Vu, respondent. ATTORNEYS: For claimant appeared Curtis E. Kittelson - Cambridge, MA. Respondent did not appear. DATE FILED: 1/9/98 CASE SUMMARY: Claimant alleged failure to pay debit balance in brokerage account. Claim Data Award Data Claim: $2,668.81 Award: $2,668.81 Atty Fees: $875.00 Atty Fees: $.00 Filing Fees: $575.00 Filing Fees: $575.00

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 00095 Farsight Financial Services, L.P., claimant vs. Luyen Daotien, respondent. ATTORNEYS: Claimant appeared Curtis E. Kitfleson - Cambridge, MA. Respondent did not appear. DATE FILED: 1/9/98 CASE SUMMARY: Claimant alleged a debit balance in a trading account. Claim Data Award Data Claim: $2,428.78 Award: $2,428.78 Interest: Requested Interest: At prevailing margin rate from 8/6/97 to date of payme

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Richard and Susan Bagwell, individually and as Trustees Richard and Susan Bagwell Living Trust and j 98-00093 Scottsdale, Arizona Name of Respondents Foresight Analysts, Inc. Daniel M. I sard Deborah Isard Capital Analysts, Incorporated Fortis Investors, Inc. [-.->•._. Royal Alliance Associates, Inc. .....; A?; REPRESENTATION OF PARTIES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Case Number: 98-00090 Northeast Securities, Inc., (Claimant) vs. Quest Capital Strategies, Inc. David Chen Yu, Richard Skinner, Joyce Lubbers, and Carolyne Yu, (Respondents) consolidated with: Case Number: 01-02217 Carolyne Yu, (Claimant) vs. Northeast Securities, Inc., (Respondent) consolidated with: Case Number: 01-02275 David Chen Yu, (Claimant) vs. Northeast Securiti

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant BlancaV. DePaolo and Case Number 98-00089 Names of Respondents Paine Webber, Inc. and Elam W.Wright REPRESENTATION OF PARTIES Blanca V. DePaolo (hereafter referred to as "Claimant") was represented by James R. Marlen, Esq. of The Law Office of James R. Marlen, located in Dallas, Texas. Paine Webber, Inc. and Elam W. Wright (hereafter collectively referred t

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds, Inc. Case No. 98-00088 Names of Respondents Ed Lauron Amelia Jose Jubilee & Co. REPRESENTATION OF PARTIES For Claimant: Jon Jacobson, Esq., Steel Hector & Davis LLP, West Palm Beach, Florida. Respondents Ed Lauron ("Lauron"), Amelia Jose ("Jose") and Jubilee & Co. ("Jubilee")(herein collectively referred to as "Respondents") di

AWARD NASD Regulation, Inc. In the Matter of the ArbitrationBetween Name of Claimants ReathaM. Swanagan; Leonard Gene Swanagan; and Talmadge F. Swanagan 98-00087 Name of Respondents Olde Discount Corporation; and Anthony Ducato REPRESENTATION For Claimants: Reatha M. Swanagan; Leonard Gene Swanagan; and Talmadge F. Swanagan ("Swanagan" or "Claimants") were represented by Daniel A. Edelman, Esq. and Sheila A. O'Laughlin, Esq., of