N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Saguaro Asset Holding I 96-03045 Name of Respondent BA Investment Services, Inc. CASE SUMMARY in a claim filed with the National Association of Securities Dealers, Regulation, Inc. on July 16, 1*)%, claimant Saguaro Asset Holding I ("claimant") through its representative and counsel James E. Smith, a sole practioneer located in

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of Claimant Teresa C. Womble Case No. 00-05125 Names of Respondents Locust Street Securities, Inc. Roger John Cawiezell Hearing Site: Raleigh, North Carolina REPRESENTATION OF PARTIES For Teresa C, Womble, hereinafter referred to as "Claimant": Nicholas D. Thomas, Esq., Raleigh, North Carolina. For Locust Street Securities, Inc. ("Locust"): Gary S. Par

AWARD NASD Regulation. Inc. In the matter of the Arbitration Between Name of Claimant(s) Michael Reutlinger Aline Reutlinger Arbitration NO. 96-03042 Name of Respondent (s) Commonwealth Associates Peter Fulton REPRESENTATION For Claimants: Steven W. Strain/ Esq., San Francisco, California For Respondents: J.P. Wilson, Esq., Commonwealth Associates, New York, New York CASE INFORMATION Statement of Claim filed: July 5, 1996

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION ARBITRATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant James P. Congleton NASD Regulation, Inc. Office of Dispute Resolution Arbitration No. 96-03039 Name of Respondents Grant Bettingen and Grant Bettingen, Inc. REPRESENTATION For Claimant: James Sanders, Esq. Sheppard, Mullin, Richter & Hampton, LLP Los An

N.A.S.D^AWARD NATIONAL ASSOCIATION OF SECURITIES PEALERS In the Matter of the Arbitration Between Name of Claimants Kevin M. and Elizabeth L. fiayoe 96-03038 of espondent La Jolla Coital Corporation For Claimants: William J. Schifmo, Jr., Esq. of the law firm of Williams, Reed, Weinstein, Schifino & Mangione, P. A., Tampa, FL. For Respondent: James C. Weaver, Esq. in-house counsel at La Jolla Cental Corporation. CASE INFORMATION Statemen

MflV.18.1998 11=26AM NftSB REGULATION FL NO.579 P.21 N-A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name flf Claimants Deborah Pittiooa and Melissa Beecham, as Personal' Representatives of die Estate of Alfred M. Seaber and as Trustees of the" Alfred M. Seaber Trust., Alexina Lane, as Trustee of the Alexina Seaber Trust and Alexina Seaber, individually, and as beneficiary of 1he Alf

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Antoinette M. Hiatt, Claimant, vs. 96-03032 David Jacobson, and Smith Barney, Inc., Respondents. REPRESENTATION OF PARTIES Claimant Antoinette M. Hiatt ("Claimant") appeared on her own behalf. Respondents David Jacobson ("Jacobson"), and Smith Barney, Inc.("SBI") (or referred to jointly as "Respondents") were represented by Bruce E. Samuels,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') Dean Witter Reynolds Inc. 96-03030 Name of Respondent(s) Jan E. Andreasen REPRESENTATION For Claimant Dean Witter Reynolds, Inc. ("Dean Witter"): Michael Taaffe, Esq. of Abel, Band, Russell, Collier, Pitchord & Gordon, Sarasota, FL. Respondent Jan Andreasen ("Andreasen") appeared pro se. CASE INFORMATION Statement of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. DELTA EQUITY SERVICES CORPORATION, ) ) Claimant ) ) and ) CASE NO. 96-03026 ) PETER F. SCRIBNER, ) ) Respondent ) STIPULATED AWARD The claimant Delta Equity Services Corporation ("Delta") and the respondent Peter F. Scribner ("Scribner") hereby stipulate to entry of the following award: 1. Delta and Scribner shall forthwith instruct their counsel to arrange for payment to Delta

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Ronald V. Johnston, Claimant and Counter-Respondent, and No. 96-03025 W.B. McKee Securities, Inc., Respondent and Counter-Claimant, and McKee & Company, and William B. McKee, Respondents. REPRESENTATION OF PARTIES Claimant, Ronald V. Johnston, was represented by Peter Shenas, Esquire of The Law Office of Peter Shenas, located in San Diego, C