Stipulated Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: Gideon Azari and Karen Azari 00-05314 Names of the Respondents Hearing Site: Merrill Lynch, Pierce, Fenner & Smith, Inc. and Mark R. Jernigan Boca Raton, PL REPRESENTATION OF PARTIES For Gideon Azari and Karen Azari, hereinafter collectively referred to as "Claimants": Darren C. Blum, Esq., Law Offices of Darren C. Blum, P.A., Plantation, FL. For

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Richard E, Rice, Claimant. v. No. 95-03494 Gruntai & Co., Inc., and Peter Mark Bizinkauskas, Respondents. REPRESENTATION OF PARTIES Richard E. Rice ("Claimant") was represented by Jane L. Stafford, Esq., of Watson & Marshall. L.C., Kansas City, Missouri. Gruntai & Co., Inc. ("GO") arid Peter Mark Bizinkauskas ("Bizinkauskas") (collectivel

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Hunter, Keith Industries, Inc., Claimant, v No. 95-03491 Piper Jaffray, Inc., and Piper Capital Management, Inc., Respondents REPRESENTATION OF PARTIES Claimant Hunter, Keith Industries, Inc. was represented by Lewis A. Remele, Jr., Esquire of Bassford, Lockhart, Truesdell & Briggs located in Minneapolis, Minnesota. Respondents Piper Jaff

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard and Anna Prignoli 954)3490 of Respondents Gene Kingman South Richmond Securities CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 19, 1995, Claimants Richard and Anna Prignoli ("Claimants"), who appeared Pro Se, alleged that Respondents South Richmond Securities ("SRS"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Douglas G, Allan, til 95-03487 Name of Respondents Joe D. Kinlaw Kinlaw Securities Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 19, 1995, Claimant Douglas G. Allan III, who appeared Pro Se, alleged that Respondents Joe D. Kinlaw ("Kinlaw") and Kinlaw Securities Corp.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ralph E. and Pamela W. Myers 95-03484 Name of Respondents Edward D. Jones & Co. David F. Wortman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 19, 1995, Claimants Ralph E. and Pamela W. Myers ("Claimants"), who appeared Pro Se, alleged that Respondents Edward D. Jones & Co.

NASD Arbitration No. 95-03483 N.A.S.D. AWARD NATIONAL ASSOCIATION QF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name o£ Claimant(s) Orrin Whitney Matthews and Mildred Warren Matthews, Trustees of the Matthews Family Revocable Trust Dated 8/17/82 Name of Respondent(s) Dean Witter Reynolds Inc. Joseph H. Kimura REPRESENTATION For Claimants: Jeffrey P. Lendrum, Esq., Post Kirby Noonan & Sweat, San Diego, C

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitnit-ton Between Name of Claimant Joseph A. Sommer and NASD Case Number: 95-03478 Name of Respondents Stratton Oakmont, Inc.; and Christopher Francis Castaldo REPRESENTATION OF PARTIES Claimant Joseph A. Sommer, Esq. appeared pro se. Respondents Stratton Oakmont, Inc. and Christopher Francis Castaldo were represented by Michael P. Gilmore, Esq. of Wexler

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant George E. Anderson 95-03472 Name of Respondent Prudential Securities, Inc. REPRESENTATION Claimant George E. Anderson ("Claimant") was represented by Gerald Chalpin, Esq. and James G. Wiles, Esq., Ellsworth, Wiles & Chalpin, Philadelphia, PA. Respondent Prudential Securities, Inc. ("Respondent") was

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Gina Robins Case No. 00-05311 Name of Respondent E*Trade Securities, Inc. Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Gina Robins ("Robins"), hereinafter referred to as "Claimant": David A. Weintraub, Esq., Fort Lauderdale, Florida. For E*Trade Securities, Inc. ("E*Trade"), hereinafter also referred to as "Respondent": Jo