NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants Clifford C. Marrs, Sr., Clifford C. Marrs, Jr., and Pattie 0. Tollefson and . Case Number 98-00399 Names of Respondents Euro-Atlantic Securities, Inc., L.T. Lawrence & Co., Inc., James Toto, Meyers Pollock Robbins, Inc., Alexander Ricci, David Melillo, Lawrence Russell, Pasquale Guadagno, Fred Tuzzolino, Jr., Peter Delsini, . J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rene Panzer, Nicholas Panzer, and Sandrine Panzer, (Claimants) vs. Brian A. Fried, (Respondent) Case Number: 00-05446 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Rene Panzer ("R. Panzer"), Nicholas Panzer ("Panzer"), and Sandrine Panzer ("S. Panzer"), hereinafter collectively referred to as "Claimants": Samuel Panzer, Esq., a sole practitioner, New York, NY

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Martin Walker (Claimant) vs. Piper Jaffray, Inc., Jeffrey D. Currie and Rick Howard (Respondents). Case Number: 98-00396 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Martin Walker hereinafter referred to as "Claimant": Gary R. Gleason, Esq., Farbstein & Blackman, San Mateo, California. Piper Jaffray, Inc., Jeffrey D. Currie and Rick Howard: Kelly J. Moynihan,

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Peter J. Joseph, Jr. Peter J. Joseph, Sr. vs. 98-00392 Name of Respondents Bear Stearns & Company Richard J. Eaton First Cambridge Securities Corporation REPRESENTATION Claimants Peter J. Joseph, Jr. ("Joseph Jr.") and Peter J. Joseph, Sr. ("Joseph Sr. n ) were represented by Peter J. Joseph, Jr., Harleysville, Pennsylvania. Respondent

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATOR. INC. i CASE: 98-00391 ' -•&• Marvin Schuck, claimaSTvs. D.H. Blair & Co., and Karl Jesaitis, respondents. ^^ ATTORNEYS: Claimant appeared Pro Se, Mt. Laurel, NJ. For Respondent D.H. Blair & Co. Inc., appeared in-house counsel, Robert L. Herskovits, Esq., New York, NY. ; For Respondent Karl Jesaitis appeared Joseph R. Corozzo, Jr., of the firm, I&ibinstein & Corozzo,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECTRTTIES DEALERS REGULATION. INC. CASE: 98-00390 John C. Knox & Sons Partnership, claimant vs. Biltmoie Securities, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Lewistown, PA. For Respondent Appeared its in-house counsel, William Nortman, Esq., Fort Lauderdale, FL. DATE FILED: February 2, 1998. CASE SUMMARY: Claimant alleged that respondent failed to issue 50 shares of Tricon Global Resta

N.A.S.B. REGULATION, INC. AWARD CASE: 98-00389 Siham K. Toma, claimant vs. Michael Mortenson and Joseph Charles & Associates, Inc., respondents. ATTORNEYS: For claimant appeared David H. Zimmer, Esq. - Greenwich, CT. Respondents did not appear. DATE FILED: 2/9/98 CASE SUMMARY: Claimant withdrew his allegations. Claim Data Claim: $3,381.16 Interest: Requested Punitive: $5,000.00 Atty Fees: Requested Filing Fees: $150.00 Other

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rosemarie D'Alessandro and Frank D'Alessandro, Rosemarie D'Alessandro, Custodian for Michael John D'Alessandro, and Rosemarie D'Alessandro, Custodian for John Charles D'Alessandro, (Claimants) v. Investors Associates, Inc., Lesley Berts, and Francois Xavier Poirier, (Respondents) Case Number: 98-00384 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Rosemarie

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 98-00383 Kent Pachl, claimant vs. Ash & Co. Incorporated, respondent. ATTORNEYS: For claimant appeared Gary A. Peterson, Esq. - Dublin, CA. Respondent did not appear. DATE FILED: 2/2/98 CASE SUMMARY: Claimant alleged unauthorized trading and failure to execute. Claim Data Award Data Claim: $8,437.00 Award: $8,437.50 Interest: Requested - Interest: 10%

N.A.S.D. REGULATION, INC. AWARD CASE: 98-00382 John B. Barry, claimant vs. Ameritrade, respondent. ATTORNEYS: Claimant appeared Pro Se. - Sugar Grove, NC. For Respondent appeared James A. Rickett - Omaha, NE. DATE FILED: 2/2/98 CASE SUMMARY: Claimant alleged failure to execute trade. Claim Data Award Data Claim: $3,900.00 Award: $.00 Interest Requested Interest: $.00 Filing Fees: $125.00 Filing Fees: $.00 Costs: Requested Costs $.00