NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the ) Arbitration between ) ) RICHARD A. NADZIEJA, ) NASD ARBITRATION ) NO. 96-00838 Claimant, ) ) vs . ) AWARD DAIN BOSWORTH INCORPORATED, ) G National Association of HARRY S. HELLMAN and ) Securities Dealers, me. CHARLES BONG KWON KIM, ) ) All Rights Reserves Respondents. ) SUMMARY OF THE ISSUES The Claimant, filing a claim in proper person, alleged that he

VA.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS %-00837 Name of Respondent Mark Wavne Wiklund CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on February 26, 1996. Claimant Associated Securities Corporation ("ASC") and. who appeared through its representative and in-house counsel Neal E. Nakagiri, Esq.. alleged that respondent Mark Wayne Wiklund ("Respondent") failed to pay fees owed to ASC. Claimant

f v- N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Leon E. & Marilyn I. Whiteman 96-00835 Name of Respondent SunBank & Trust Company n/ky'a SunTrust Bank REPRESENTATION The Claimants appeared pro se. For Respondent: Joseph Hern, Esq., in-house counsel at SunTrust Bank. CASE INFORMATION Statement of Claim filed: February 26, 1996. Claimants' Submission Agreemen

NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Carol H. DeGolT Name of Respondents Brauvin Securities, Inc. NASD Regulation. Inc. Arbitration No. 96-00833 For Claimants: REPRESENTATION Alary E. Piibe, Esq. Santa Monica. California For Respondents: John M. Murphy. Esq. Baker & McKenzie Chicago, Illinois CASE INFORMATION Statement of Claim filed: Cl

N.A.S.D. REGULATION, INC. AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant(s) Carl V. & Catherine R Conn Living Trust Carl and Catherine Conti 96-00832 Name of Respondents) Great American Financial Network, Inc. Victor Verola REPRESENTATION For Claimants Carl V. & Catherine F. Conti Living Trust and Carl and Catherine Conti: Tim B. Wright, Esq. of Warner, Fox, Seeley, Dungey & Sweet, Stuart, Florida.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Securities, Inc., Claimant v. Steven B. Stiffel, Respondent Case Number: 00-05420 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Kevin M. Gleason, Esq. Kane & Fischer, Ltd. Chicago, Illinois For Respondent: Steven B. Stiffel, Pro se Manhattan Beach, California CASE INFORMATION Statement of Claim filed: December 5, 2000

RECEIVE! AWARD SEP 1 * 1998 NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION HASD-Arbitration In the matter of the Arbitration Between Name of Claimant Burton E. Kurz and Virginia A. Kurz v. Arbitration No. 96-00831 Name of Respondents Landmark International Equities, Eric J. Aronson, Joseph L. Faraldi, William Nunziato, Martin Drayer, Howard Berger, Paul Italia, and Craig Steven Redding REPRESENTATION

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION Priscilla Brchm; Shearwater Securitie.s: California Capital Scr\ ices. Inc.'. Lon Monon: The Morton hanuly Trust: Morton Capital Management: Richard A. IraL-h: MLC^ Propcny Inc.. arul ("alabasas MunuilciiiciH, In REPRESENTATION Ricki C. Ring. Esq./Jay Sicm. J : ,sq. Law Offices of Rieki C. Ring Los Aneeles, California Michael L. Olickfiokl. GlickfieUl, Tields & Jal'te Richard

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Lewis, de Rozario & Co., Inc. and 96-00829 Name of Respondent Robert \V. Lewis REPRESENTATION OF PARTIES Lewis, de Rozario & Co., Inc. ("Claimant") was represented by James E. Nesland, Esq., William J. Leone, Esq., and Marc L. Jacuzzi, Esq., Cooley Godward LLP, Denver, Colorado. Robert W. Lewis ("Respondent") was represented by

NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Bel ween Kenneth A. Keeley, and Kenneth A. Keeley Trust, Claimants, v. No. 96-00822 East-West Capital Corporation, East-West Group, East-West Institutional Services, Inc., East-West Financial Corporation. Craig A. Janutol, Jonathan D. Ahlbrand, and John and Jane Does 1 Through 10. Respondents. REPRESENTATION OF PARTIES Claimants Kenneth A. Keeley