AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Robert W. Pohl, Bruce D. Gardner, Greg W. Scholl and Kenneth V. Moe and 00-05181 Southfield, Michigan Seaboard Securities, Inc., and Jason Remini REPRESENTATION OF PARTIES Robert W. Pohl ("Pohl"), Bruce D. Gardner ("Gardner), Greg W. Scholl ("Scholl"), and Kenneth V. Moe ("Moe"), referred to as "Claimants" were represented by G. Martin Cole, Esq., Rothberg Logan

NATIONAL ASSOCIATION OF SECURITIES DEALERS NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Domenici Family Trust, dated July 20, 1992, John Domenici, Trustee No. 96-03960 Claimant, ORDER/AWARD v. Bank of America Investment Services, Inc., Respondent. REPRESENTATION OF PARTIES Claimant was represented by Michael Salcido. Respondent was represented by Brian J. Campbell. CASE INFORMATION

BY: 8-28-98 ; 4:18PM ;NASD ARBITRATION DPT-> 12122085165;#12/21 AWARD NASD Regulation, Lac. Office of Dispute Resolution In the Matter of the Arbitration Between Don C. Hayfies and Arbitration No. 96-03956 Smith Barney, Inc. Jeffrey Stevenson Off PABTJIS Don C. Haynes ("ClaJnuiiir) was represented by Paul W. Thomas, Esq., Law Offices of Paul W. Thomas, Esq., Carlsbad, California. Smith Barney, Inc., and Jeffrey Stevenson ("Respondent

SHNT BY: 6-14-99 ;ll:38AM ;NASD ARBITRATION DPT^ 12122087581;#16/31 REQUIATIOM. IHfP- • OPPTCS Of DISPUTE RESOLffTIOH In the matter of the Arbitration Between Mams of Claimant(al J'eral R. Fontaine Arbitration No. 96-03955 Name of Respondent: fs) Cohig & Associates, inc. Edwin Raymond REgRESEHTATlOM For Claimant: Jeffrey L. Gaffney, Esq., San Diego, For Respondents: Russell K. Bean., Ksq. , Cohig & Associates, Ino*, Knglewood , C

AWARD HASP REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimantfs) Lee La Rosa Arbitration No. 96-03951 Name of Respondentfs) La Jolla Securities, Inc. James Mahoney REPRESENTATION For Claimant: Jeffrey L. Gaffney, Esq., San Diego, California For Respondent La Jolla Securities, Inc.: Richard R. Leuthold, Esq., San Diego, California For Respondent James Mahoney: James Mahoney, De

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kirk Yorgey 96-03946 Name o£_Respondents Investors Associates, Inc Roberto Loza CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on September 4, 1996 claimant Kirk Yorgey ("claimant"), who appeared Pro Se, alleged that respondents Investors Associates, Inc. ("IAJ") and Robert

AWARD NASP REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimantf s) John R. Zavoli Diane J.Zavoli v. Arbitration No. 96-03944 Name of Respondents) Charles Schwab & Co., Inc. For Claimants: Steven O. Sidener, Esq., Sidener & Associates, San Francisco, California For Respondent: Joseph ..•£.. Floien, Esq vv Steef«?l Levitt^ CASE Statement of Claim filed August 30, 1996 Ame

* * AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between David Servais, Claimant, v. No. 96-03940 Sovereign Equity Management Corporation and Jeffrey Lefkowitz, Respondents. REPRESENTATION OF PARTIES Claimant David Servais ("Claimant") was represented by R, Timothy Muth, Esq. and Anne Willis Reed, Esq. of Reinhart, Boerner, Van Deuren, Norris & Rieselbach, s.c. located in Milwaukee, Wi

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-03937 Renee L. Montgomery, claimant v. Smith Barney Inc., Victoria Wizzel, Joseph Polanski, Steven G. Kushner and Donald Shagrin, respondents. ATTORNEYS: For Claimant George Montgomery, Esq. - Henderson, Nevada For Respondents John Bevilacqua, in-house-counsel for Smith Barney, Inc. - New York, New York. DATE FILED: September 4, 1996 CASE SUMMARY

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Carolyn & Fred Rankin 96-03934 Names of Respondents A.S. Goldmen & Company, Inc. Sheldon Wilson Floyd Wilmoth REPRESENTATION For Claimants: Dan A. Druz, Esq. of Manasquan, New Jersey. Fred Rankin did not appear at the evidentiary hearing. For Respondent A.S. Goldmen & Company, Inc. ("Goldmen"): Lewis Goldberg, Esq. of