4i Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ray Neufeld and Jane Neufeld, Individually and as Trustees of the Neufeld Family Trust, and The Ray Neufeld Individual Retirement Accounts, Claimants v. Maurice (Mike) Arthur Gross, Jr., Mohammad Ali Khan, Martin Marvin Berk, William Oakleigh Triebel, Klein, Maus & Shire, Inc., SG Cowen Securities Corporation, and Gruntal & Co., LLC (f.k.a. Gruntal & Co., Inc.), Respondents

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Lester A. Johnson and Alberta M. Johnson, individually and as Trustees of the Lester A. and Alberta M. Johnson Revocable Trust and 99-02208 Scottsdale, Arizona Name of Respondents Charles Schwab & Co,, Inc. JR Rogers Investment Management, Inc. Jim Richard Rogers REPRESENTATION OF PARTIES Lester A. Johnson and Alberta M. Johnson, individually and as

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02206 Corporate Securities Group, Inc., claimant vs. Frank Husek, respondent. ATTORNEYS: For Claimant Corporate Securities Group, Inc. ("Claimant"), Charles E. Scarlett, Esq., Boca Raton, Florida. Respondent Frank Husek ("Respondent"), appeared Pro Se., Short Hills, New Jersey. DATE FILED: 05/13/1999 CASE SUMMARY: Claimant maintained that in March of 1999,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Jianhua Fan Rongru Zheng Case No. 00-03535 ff p| f gpntiriftnf g WMA Securities, Inc.; Ping Yang; and, Pacific Life Insurance Company Site.* Nashville, Tennessee Claimants Jianhua Fan ("Fan") and Rongru Zheng C*Zheng"), together referred to as "Claimants,'* were represented by Jianhua Fan of Nashville, Tennessee. c, r \ Respondent WMA Securities* Inc. ("WMA"

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: The Golden, Lender Financial Group, Inc., (Claimant) vs. Leon Jack Vinokur, (Respondent) Case Number: 99-02204 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, The Golden, Lender Financial Group, Inc., hereinafter referred to as "Claimant": Foster J. Gibbons, Esq., General Counsel, The Golden, Lender Financial Group, Inc., New York, NY. Respondent, Leon

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ian R. West, (Claimant) vs. Pacific Cortez Securities Incorporated, Michael DiFrancesca, George H. Malagon, Jr., Harold B.J. Gallison, Alfonso Burgos, and Gregory K. Mehlmann, (Respondents) Case Number: 99-02201 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Ian R. West, hereinafter referred to as "Claimant": Ralph A. Gant, Esq., a sole practitioner,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02198 Joan R. Lawrence, claimant vs. David Eubank and Legg Mason Wood Walker, Inc., respondents. ATTORNEYS: Claimant Joan R. Lawrence appeared Pro Se., Potomac, Maryland. For Respondents David Eubank and Legg Mason Wood Walker, Inc. ("Respondents"): Robert J. Smith, Esq., Legg Mason Wood Walker, Inc., Baltimore, Maryland. DATE FILED: May 13, 1999 CASE

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Karen Juran, Claimant v. E*Trade Securities, Inc., Respondent Case Number: 99-02197 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Paul W. Thomas, Esq. Paul W. Thomas & Associates Carlsbad, California For Respondent: Paul S. Chan, Esq. Bird, Marella, Boxer & Wolpert Los Angeles, California CASE INFORMATION Statement of Claim filed: Ma

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: The Golden, Lender Financial Group, Inc., (Claimant) vs. Konstantin Tokar, Leon Jack Vinokur, Jean Olson Brutus, Vintok, Inc., R.M. Stark & Co., Inc., Gary Lester Stark, and Henry Neifeld (Respondents) vs. J,P. Gibbons & Co., Inc., Berkshire Securities, Inc., Foster J. Gibbons, Aron Oleg Bronstein, Tomer Matthew Yuzary, and losif Pak (Third-Party Respondents) Case Number: 99-0

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Gerhard and Margarete Lasamnick, JT Claimants v. Richard Post, Respondent Case Number: 99-02192 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Gerhard and Margarete Lasamnick In Pro Per Palm Desert, California For Respondent: Nuviah Shirazi, Esq. A.G. Edwards & Sons St. Louis, Missouri CASE INFORMATION Statement of Claim filed: April