I Award NASD Dispute Resolution In the Matter of the Arbitration Between: TSfrmp. nf thf riiflrnpnf O* fif> Mnn-^r- 00-05531 Jefferson Pilot Securities Corporation Pp-spTMHl?nts Hiring Sift*-' Houston, Texas Charles Richard Gray, MJ Whitman, Inc., and First Security Investment, Inc. Ry.pnirjgF.TVT 4 TJO^ ny Claimant Jefferson Pilot Securities Corporation hereinafter referred to as "Claimant": Dennis J. Kelly, Esq., Liner, Yankelv

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Haideh Tabibzadeh SEP IRA FBO Haideh Fenner, Smith, Inc. and Martin R. Shandling Case Number: 99-04920 faideh Tabibzadh, et al v. Merrill Lynch, Pierce, Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Roya Tabibzadeh Haideh Tabibzadeh Taraneh Tabibzadeh For Respondents: Merrill Lynch, Pierce, Fenner, Smith, Inc. Martin R. Sh

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-04916 Charles Schwab & Company, Inc., claimant vs. Jonathan M. Fustine, respondent. ATTORNEYS: For Claimant Charles Schwab & Company, Inc. ("Claimant"), Mauricio S. Beugelmans, Esq. Counsel for Charles Schwab & Company, Inc., San Francisco, CA. Respondent Jonathan M. Fustine ("Respondent"), appeared Pro Se., Chapel Hill, NC. DATE FILED: 11/01/1999 CASE SUM

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Linda W. Peterson v. Principal Financial Securities, Inc., Everen Securities, Inc., Clifton M. Price, et al Case Number: 99-04915 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant Linda W. Peterson hereinafter referred to as "Claimant": William J. Hawkins, Esq., Spring, Texas. Respondents, Principal Financial Securities, ('Principal") Inc., Everen Securities,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Marjorie A. Minor, Claimant vs. Everen Securities, Inc., formerly known as Kemper Securities, now known as First Union Securities, Inc.; and James Brian Panenka, Respondents. Case Number: 99-04914 Hearing Site: Milwaukee. Wisconsin REPRESENTATION OF PARTIES Claimant, Marjorie A. Minor, "Minor", hereinafter referred to as "Claimant", was represented by Paul Erickson, Esquir

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David Bunce and Sharilyn Bunce, (Claimants) vs. Lloyd Wade Securities, Inc., Glenn S. LaFaye and J. Ralph Ewing, (Respondents). Case Number: 99-04911 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES David Bunce and Sharilyn Bunce: Richard Sacks Investors Recovery Service Novato, California. Lloyd Wade Securities Inc.: David Graven, Esq. Lloyd Wade

08/19/02 MON 12:55 FAX NASD REGULATION 1009 Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: FRANK J. SPADAFORE AND CAROL A. HESS, Claimants, v. RICHARD W. BOURGON, PARTNERS SECURITIES, INC., MARINER FINANCIAL SERVICES, INC,, RICHARD BOURGON, L WILL PAULL, CLARK R COLTON, WILLIAM GREGG, DENNIS BROWN, ROBERT BOONE, and KENNETH D. WARNICK, Respondents, Case Number: 99-04909 Hearing Site

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Calvin W. Newport Case No. 99-04908 Hearing Site: Oklahoma City, OK Name of Respondents Prudential Insurance Company of America, Inc., John D. Shields REPRESENTATION OF PARTIES Claimant Calvin W. Newport ("Newport") was represented by Brian J. Rayment, Esq. of Kivell, Rayment, and Francis, located in Tulsa, Oklahoma. Respondents Prudential I

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Muriel Hecht Revocable Trust Case No. 99-04907 Names of Respondents Preferred Securities Group, Inc. Victor Lessinger Anthony J. Rotonde Jeffrey Malken Richard S. Fleischner Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Muriel Hecht Revocable Trust, hereinafter referred to as "Claimant": Patricia A. Shub, Esq., Fort

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-04905 Thomas DiCecco, claimant vs. Ameritrade, respondent. ATTORNEYS: Claimant Thomas DiCecco ("Claimant"), appeared Pro Se., Glenn Mills, Pennsylvania. For Respondent Ameritrade, Inc. ("Respondent"), James H. Vihstadt, regulatory attorney for Ameritrade, Inc., Believue, Nebraska. DATE FILED: 11/01/1999 CASE SUMMARY: Claimant maintained that on June 16, 19