Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John Martin, Claimant vs. James Fuller, Alexander Lushtak and Morgan Fuller Capital Group, LLC, Respondents Case Number: 99-04965 Hearing Site: San Francisco, California For Claimant: REPRESENTATION OF PARTIES Philip J. Terry, Esq. Terry & Terry Petaluma, California For Respondents James Fuller and Morgan Fuller Capital Group, LLC For Respondent Alexand

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Louis and Hilda Friedland Case No. 99-04964 Names of Respondents Securities Service Network, Inc. Steven Schaefer Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Louis and Hilda Friedland, hereinafter referred to as "Claimants": Stephen D. Spivey, P.A., Ocala, Florida. For Respondent Securities Service Network, Inc. ("SSN"): Chr

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-04962 Charles Schwab & Co., Inc., claimant vs. Mark S. Johnson, respondent. ATTORNEYS: For Claimant Charles Schwab & Co., Inc. ("Claimant"), Mauricio S. Beugelmans, in-house counsel for Charles Schwab & Co., Inc., San Francisco, California. Respondent Mark S. Johnson ("Respondent"), did not respond to the Statement of Claim. DATE FILED: 11/03/1999 CASE SUM

1 NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. MC. CASE: 99-04956 Asmik Yurdumyan, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS; For Claimant appeared Maro Burunsuzyan, Esq., Glendale, CA. For Respondent appeared Mark T. Drooks, Esq. of the firm Bird, Marella, Boxer & Wolpert, Los Angeles, CA. DATE FILED: November 3, 1999 CASE SUMMARY: Claimant alleged that respondent improperly sold her stock for failure to satisfy

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ameritrade, Inc., Claimant v. James M. Steel, Mabel J. Steel, Mabel J. Steel Family Trust, Heather Steel and James M. Steel Investments, L.C., Respondents Case Number: 99-04944 Hearing Site: Salt Lake City, Utah REPRESENTATION OF PARTIES For Claimants: For Respondents: Patrick B. Griffin Kutak Rock LLP Omaha, Nebraska John S. Lutz LeBoeuf, Lamb, Greene

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Susan Johnson and Gordon Johnson and 99-04942 Wichita, Kansas Name of Respondents Carey, Thomas and Associates, Inc. Alan Phares Tim Phares REPRESENTATION OF PARTIES Susan Johnson and Gordon Johnson ("Claimants") were represented by Chuck Milsap, Esq., Clayton C. Skaggs, Esq. And Stephen E. Robison, Esq., Fleeson, Gooing, Coulson & Kitch, L

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-04932 Myron R. Richman, CLU, ChFC, claimant vs. Jefferson Pilot Securities Corp., and Jack E. Gregory, CLU, CFP, respondents. ATTORNEYS: Claimant Myron R. Richman ("Claimant"), appeared Pro Se., Los Angeles, CA. For Respondents Jefferson Pilot Securities Corp., and Jack E. Gregory, CLU, CFP ("collectively "Respondents"), Charlene Grant, Esq., Counsel to Jeffer

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04931 Olde Discount Corporation, claimant vs. Gregory Ruccione, respondents. ATTORNEYS: For Claimant appeared in house counsel Aaron L. Kleid, Esq., Detroit, MI. Respondent did not respond to the Statement of Claim. DATE FILED: November 2, 1999 CASE SUMMARY: Claimant alleged that respondnet failed to repay debit balance created through the purchase of 1,000 shares of Pyramid Tech C

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-04929 Dean Witter Reynolds, claimant vs. Patricia Chenault, respondent. ATTORNEYS: For Claimant Dean Witter Reynolds ("Claimant"), Stephen S. Berkely, Goomberg Kane & Fischer, Ltd., Chicago, IL. Respondent Patricia Chenault ("Respondent"), appeared Pro Se., Hot Spring Village, AR. DATE FILED: 11/02/1999 CASE SUMMARY: Claimant maintained that Respondent par

TPN-17-20131 13:45 FROM:JERRY HDQUER.fiTTY 71368S0676 TD:T13 554 7£tiB - AWARD NASD Dispute Resolution, Inc. In the Matter rf the Arbitration Between: Gary & Sandra R.Thompson, (Claimants) vs. Edward D, Jones & Co. and Willie Joe Howard, (Respondents). __ Case Number: 99-04921 Haarinn QJ+ Q - Houston, TX REPRESENTATION OF PARTIES Claimants Gary & Sandra R. Thompson hereinafter collectively referred to as "Claimants": Represented Themselves.