AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between James Sexton and Maureen Sexton, Claimants, and No. 96-01198 Gruntal & Co., Inc., and Timothy L. Johnson, Respondents. REPRESENTATION OF PARTIES James Sexton and Maureen Sexton were represented by Mark J. Briol, Esquire of Briol & Associates, located in Minneapolis, Minnesota and Terrence J. Fleming of Linquist & Vennum, P.L.L.P. of Minneapolis, Min

AWARD NASD Regulation, Inc., In the Matter of Arbitration Between Jimmie D. Ross Claimant, A. G. Edwards & Sons, Inc. and Merrill Lynch & Co. Respondents. and \ 1 /Nb-96-01196 REPRESENTATION OF PARTIES Claimant, Jimmie D. Ross, ("Claimant"), was represented by Rick J. Beaifield, Esquire and Michael A. Eastridge, Esquire of Bearfield, McCieilan & Eastridge located in Johnson City, Tennessee Respondent, A.G, Edwards & Sons. Inc. ("Edwards"

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Charles Grand and Nancy Gram! and Case Number 96-01192 Names of Respondents Kidder Peabody & Company, Inc. and Celeste Kelley REPRESENTATION OF PARTIES Claimants Charles and Nancy Graml were represented by Robert E. Lapin, Esquire of Ganrigan,i Lapin, Landa& Wilde, L.L.P, located in Houston, Texas. Lapin, Land;-: X-. Wi(.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between George W. Hawkins, Claimant, and No. 96-01187 The Westcap Corp., and National Western Life Insurance, Inc., Respondents. REPRESENTATION OF PARTIES Claimant George W. Hawkins was represented by R. Christopher Bell, Esquire, of Houston, Texas. Respondent The Westcap Corp. was represented by I. Clay Rogers, Esquire of Fulbright & Jaworski, LLP, loc

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Principal Financial Securities, Claimant, and No. 96-01184 David A. Ross, Respondent, REPRESENTATION OF PARTIES Claimant Principal Financial Securities was represented by Terrence J. Fleming, Esquire, and Kim Ruckdaschel-Haley, Esquire, of Lindquist & Vennum P.L.L.P., located in Minneapolis, Minnesota. Respondent David A. Ross was represented by

1 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Steven I. Chudy 96-01181 Name of Respondents Kensington Wells Inc. Douglas J. Guarino CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 18, 1996 Claimant Steven I. Chudy ("Claimant"), who appeared Pro Se, alleged that Respondents Kensington Wells Inc. ("Kensington") and D

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Philippe and Lauren Erramuzpe 96-01178 Name of Respondent F.N. Wolf & Co., Inc. Scott Sondak REPRESENTATION Claimants appeared Pro Se. For Respondent Scott Sondak ("Sondak") appeared Russell C. Burk, Esq., a sole practitioner, located in Denver, Co. CASE INFORMATION The Statement of Claim was filed on March 15, 199

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Saliba Sawakji and Silva Sawakji, Claimants v. Financial West Group and Edwin N. Keshishian, Respondents Case Number: 01-01178 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Gary D. Herzog, Esq. Law Offices of George J. Shalhoub, Esq. Encino, California For Respondents: Jeffrey K. Compton, Esq. David S. Markun, Esq. Liner Yankele

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC, CASE: 00-00704 Investex Securities Group, Inc., claimant vs. Joseph K. Morris and Dave R. George, respondents. ATTORNEYS: Claimant appeared through its President, Frank Somma, New York, NY. Respondents did not respond to the Statement of Claim. DATE FILED: February 16, 2000 CASE SUMMARY: Claimant alleged that respondents placed an order for 1000 shares of Anderson Group (ANDR). Claimant

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant James M. Copperthite 96-01171 Name of Respondent La Jolla Capital Corp REPRESENTATION Claimant James M. Copperthite ("Claimant") was represented by John P. McKenna, Esq. of the law firm of Stohlman, Beuchert, Egan & Smith, Washington, DC. Respondent La Jolla Capital Corporation ("Respondent") was represented b