NASD REGULATION AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Jeffrey Keith Trilling Daniel Eugene Boyd 96-02992 Name of Respondents La Jolla Capital Corporation Harold Bailey Gallison Gregory Hilsenrath Michael £. Dudley REPRESENTATION Claimants Jeffrey Keith Trilling and Daniel Eugene Boyd (jointly referred to as "Claimants") "were, represented by Morris L,

STIPULATED AWARD NASD Regulation, Inc. Office of Dispute Resolutio.ru, In the Matter of the Arbitration Between Brian J. Tanner Claimant, v. No. 96-02986 Biltmore Securities, Inc., Monroe Parker Securities, Inc., Richard B, Bronson, John P. Clancy, Michael B. Goldberg, Bryan Jay Herman, Alan S. Lipsky, and Elliot A. Loewenstern Respondents. REPRESENTATION OF PARTIES Claimant Brian J. Tanner ("Claimant") was represented by

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-05119 Seaboard Securities, Inc., claimant vs. Richard Knuth, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Jay Marc Israel, Esq. Respondent did not respond to the Statement of Claim. DATE FILED: November 20, 2000 CASE SUMMARY: Claimant alleged that respondent failed to repay funds advanced to him to cover employment costs. Claim Data Award Data Claim: $6,61

SEP. 3.1998 li:Z0flM NASD REGULATION FL . NO.704 P.2 N.A.S.1). AWARD NATIONAL ASSOCIATION OF SEPOMHES DEALERS In the Matter of the Aibitratioja Between Mama Katbiyn B. Moser, individually and as Trustee of the Kathryn B. Moser Revocable Living Trust 96-029S1 f ^ eH pondents CarlW.AJlen, Jr. Barren Chase Securities, IDC. REPRJ^SENTATION For Claimant: Richard R. Logsdon, Esq, of Richard R. Logadon, PA, Qearwater, Florida, F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants The Brewster Family Living Trust Warren E. and Fern H. Brewster 96-02979 Name of Respondents Retirement Investment Group Sunpoint Securities, Inc. Aragon Financial Services, Inc. Signal Securities, Inc. Thomas Cannon Gail Ann Gentry TEI Strategies, Inc. REPRESENTATION For Claimants: Jeffrey P. Coleman, Esq.

"7'* AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Cherrill Witham, IRA v. Arbitration No. 96-02978 Name of Respondents -TConcord Financial Counselors, Inc. Titan/Value Equities Group N. Terrry Anderson Glen J. Lutz REPRESENTATION OF PARTIES Cherrill Witham ("Claimant") was represented by B. Kevin Burgess, Esq., Watkinson'-Laird'' Rubenstein & Lashway, Port

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration B etween Stephen 0. Orr, Claimant, v. Case Number 96-02973 Merrill Lynch, Pierce, Fenner & Smith, Inc., and Michael Ellis, Respondents. REPRESENTATION OF PARTIES Claimant Stephen O. Orr ("Claimant") was represented by Scott D. Stechman, Esq. of Smith Campbell & Paduano located in New York, New York. Respondents Merrill Lynch, Pierce, Fenner & Smith,

ORDER NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant^ Washington Mutual Bank v; Arbitration No. 96-02971 Name of Respondents) Salomon Brothers, Inc. On April 15, 1997, the undersigned arbitrators convened a hearing on Respondent's Motion for Summary Judgment on statute of limitations grounds. Having read the briefs and heard oral argument on the motion, the undersigned arbitr

NASD REGULATION AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Hedy A. Kuzmack and The Michael S. Kuzmack and Hedy A. Kuzmack Trust Case Number 96-02970 Name of Respondents Edgar W. Brick William B. Boyd, HI Edward C. Rorer Gurney Sloan, Jr. James Gay Hesser Frank Stanton Moyer Brick & Kyle Associates Inc. Clifford B. Storms, Jr. William L. Kufta Th

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Oppenheimer & Co., Inc. 96-02969 Name of Respondent David Ellrich REPRESENTATION For claimant Oppenheimer & Co., Inc. ("claimant") appeared Lynn E. Judell, Esq. of the law offices Rosenthal Judell & Uchima located in New York, New York. For respondent David Ellrich ("respondent") appeared Pete S. Michaels, Esq. of the law offices Murphy, MacKenzie, Mich