AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Mark W. McClelien and 01-01383 Minneapolis, Minnesota Name of Respondents Preston Langley Asset Management, Inc. Christian W. Blake REPRESENTATION OF PARTIES Mark W. McClelien ("Claimant") appeared pro se. Preston Langley Asset Management, Inc. ("Respondent Preston Langley") did not participate in this matter. Christian W. Blake ("Respon

AWARD NASD REGULATION. INC In the matter of the Arbitration Between Name of Claimant(s) Suresh Marisetty AnithaMarisetty v. Arbitration No. %-05449 Name of Respondent(s) E*Trade Securities, Inc. REPRESENTATION For Claimants: - Suresh Marisetty San Jose, California For Respondent: Mark T. Drooks, Esq. Bird, Marella. Boxer & WoJpert Los Angeles, California CASE INFORMATION Statement of Claim filed: December 9, 1996

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-05448 Erwin N. and June E. Schwartz, claimants v. Christopher Mormando and Norfolk Securities Corp., respondents. ATTORNEYS: Claimants appeared pro se - Cottonwood, MN. Respondents did not appear. DATE FILED: 12/9/96. CASE SUMMARY: Claimants alleged unauthorized purchase of 750 shares of JJFN SVCS Inc. Claim Data Award Data Claim: $5,312.50 Award

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In-the Matter of the Arbitration Between Name of Claimant Abed Hishmeh 96-05442 Name of Respondents LaJolla Capital Corporation Patrick T. Montague REPRESENTATION Claimant Abed Hishmeh ("Claimant") was represented by John P. Lynch, Esq., McNamee, Hosea, Jemigan & Kim, Greenbelt, MD. Respondents LaJolla Capital Corporation ("LaJolla") and Patrick T. Mont

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant A.G. Edwards & Sons, Inc. 96-05440 Name of Respondent Steven M. Vavoudes REPRESENTATION For claimant A.G. Edwards & Sons, Inc. ("claimant") appeared Norman S. Buckvar, Esq., Litigation counsel for claimant. Respondent Steven M. Vavoudes ("respondent") did not enter an appearance in this matter, CASE INFORMATION Statement of Claim was filed on: December 5, 199

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant 96-05439 Name of Respondent Patrick J. Sullivan REPRESENTATION For Claimant Gregory Koester ("Claimant") appeared Richard M. Gelb, Esq., of the law firm Gelb & Gelb, LLP, located in Boston, Massachusetts. For Respondent Patrick J. Sullivan ("Respondent") appeared Philip M. Giordano, Esq., of the law firm Giordano & Champa, located in Boston, Massachusetts.

NASD REGULATION, INC. AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Craig Weller and Linda Weller Name of Respondents Stratton Oakmont, Inc., Richard Haimowitz, Daniel M. Porush, Jordan Shamah, Andrew T. Greene, Paul F. Byrne, Mathias V. Tiffert, and Leonard Dunn Arbitration No. 96-05438 REPRESENTATION For Claimants: For Respondent Stratton Oakmont, Inc. F

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Margie J. Bowen, Claimant, and No. 96-05432 Norwest Investment Services, Inc., Dwight Wrich, Margo Woods, Todd Davis, Sara Masters, Brent W. Mueller, and Sandy Lippe, Respondents. REPRESENTATION OF PARTIES Claimant, Margie J. Bowen, was represented pro se. Respondents, Norwest Investment Services, Incorporated, Dwight Wrich, Margo Woods,: Todd

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Peter Gruemberg 96-05427 Name of Respondents John Kim John N. Salerno Joseph F. Roberts, Inc. Israr Nasir REPRESENTATION Claimant Peter Gruemberg ("Claimant") was represented by Carl N. Duncan, Esq., Duncan, Blum & Associates, Bethesda, MIX Respondent John Kim ("Kim") was represented by M

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Scott Dunphy ' ' • 96-05425 Name of Respondents Charles Schwab & Company, Inc. Janney Montgomery Scott, Inc. Myles H. Shoop REPRESENTATION Claimant Scott Dunphy ("Claimant") was represented by James DeCinti, Esq., Angino & Rovner, Harrisburg, PA. Respondent Charles Schwab & Co., Inc. ("Schwab