N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: #99-01132 Bernadette B. Hill; Miriam Hill and Bernadette Hill; Elizabeth Hill and Bernadette Hill; Robert Hill and Bernadette Hill; David Hill and Bernadette Hill; and Katherine Hill and Bernadette Hill, claimants vs. Olde Discount Corporation, respondent. ATTORNEYS: For Claimants, appeared Robert W. Hill, Esq., University Heights, OH. For Respondent, Olde Discou

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01130 Brenda L. Kelley, claimant vs. Smith Barney Inc., and Shearson Lehman Hutton, respondents. ATTORNEYS: Claimant Brenda L. Kelley ("Claimant"), appeared Pro Se., Jarreau, LA. For Respondents Smith Barney Inc., and Shearson Lehman Hutton ("collectively "Respondents"), Ann Parry, First Vice President and Associate General Counsel to Smith Barney, Inc., New Y

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Fortress Financial Group, Ltd., Claimant v. Sun Cut Floral Network, Inc., Respondent. Case Number: 99-01122 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Simon S. Kogan, Esq. Kogan & Taubman New York, New York For Respondent: Frank Marra Sun Cut Floral Network, Inc. Los Angeles, California CASE INFORMATION Statement of Cla

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Phil Peralta, Claimant v. Morgan Stanley Dean Witter, Inc. and Don Gray, Respondents. Case Number: 99-01120 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondents: Morgan Stanley Dean Witter, Inc. and Don Gray Philip Peralta In Pro Per Tustin, California Janet T. Epstein, Esq. Morgan Stanley Dean Witter, Inc. San F

4 N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01118 Robert E. Wagner, claimant vs. Olde Discount Corporation, respondent. ATTORNEYS: Claimant appeared Pro Se., Kent, Washington. For Respondent Olde Discount Corporation, appeared in-house counsel, Kathleen A. Mulcahy, Esq., Detroit Michigan. DATE'FILED: 3/10/1999 CASE SUMMARY: Claimant alleged that on July 21, 1997 Respondent, without his approva

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Raymond Phillips Case No. 99-01115 Names of Respondents Olde Discount Corporation Jody Dean Houston Albert John Scibilia Randy Brian Blinder REPRESENTATION OF PARTIES For Raymond Phillips ("Claimant"): John R. Kiefher, Jr., Esq. of the law firm of Riden, Earle & Kiefher, P.A., St. Petersburg, Florida. For Olde Discount Corporation ("Olde"), Jody

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mountain States Neonatology Retirement Plan (Claimant) vs. U.S. Bancorp Piper Jaffray d/b/a Piper Jaffray and Mark J. Fredback (Respondents). Case Number: 99-01113 Hearing Site: Salt Lake City, Utah. REPRESENTATION OF PARTIES For Claimant: Scot M. Ludwig, Esq. Law Offices of Scot M. Ludwig Boise, Idaho. For Respondents: Mark S. Reed, Esq. U.S. Bancorp Piper Jaffray

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between: William E. Prymas & Janet Prymas, Claimants, vs. Olde Discount Corporation, John Matthew Jolliffe, Rene Perozini & Matthew Maxwell, Respondents, Arbitration No. 99-01112 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimants, William E. Prymas & Janet Prymas, hereinafter collectively referred to as "Claimants": Brian P. Biggins, Esq., Br

Award NASD Regulation, Iric In the Matter of the Arbitration Between: Kathleen Elizabeth Downey v. Olde Discount Corporation and Steven R. Ross Case Number: 99-1111 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, Kathleen Elizabeth Downey ("Downey"), he Laurence S. Schultz, Esq., Driggers, Schultz & Herbs Respondents, Olde Discount Corporation ("Olde"), anc referred to as "Respondent": John A. Hubbard, Esq. Michigan.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Securities, Inc. v. CPR Holdings, Inc., Robert Pennington, Rita Pennington, Harold Crum, Betty Crum, Millennium Business Associates, Inc., and DPA Holdings, Inc. Case Number: 00-03404 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, First Union Securities, Inc., hereinafter referred to as "Claimant": Retta A. Miller of Jackson Walker L.L.P., Dal