AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Franklin Bachman and 99-00255 Name of Respondent Piper Jaffray, Inc. n/k/a US Bancorp Piper Jaffray, Inc. REPRESENTATION OF PARTIES Franklin Bachman ("Claimant") appeared pro se. Piper Jaffray, Inc. n/k/a US Bancorp Piper Jaffray, Inc. ("Respondent") was represented by Mark S. Reed, Esq., US Bancorp Piper Jaffray, Inc., Minneapolis, Minnesota. CASE INFO

AWARD NASD Regulation, Inc. CASE: 99-00254 William N. Hoyer and Charlotte G. Hoyer, claimants vs. Salomon Smith Barney, Inc. and Kenneth C, Spell, respondents. ATTORNEYS: Claimants appeared Pro Se - Houston, TX. For Respondents appeared in-house counsel, Ann Parry, Esq. - New York, NY. DATE FILED: January 19 T 1999 CASE SUMMARY: Claimants alleged that they were deceived into buying shares of U.S. Diagnostic, Inc., a high-risk stock which

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Douglas Paris Case No. 99-00253 Names of Respondents Foster Jeffries Securities, LLC Frederick Hentschel Marcus Ramos REPRESENTATION OF PARTIES For Douglas Paris, hereinafter referred to as "Claimant": Randy Scott Zelin, Esq., Randy Scott Zelin, P.C., Westbury, New York. For Foster Jeffries Securities, LLC ("Foster Jeffries"), Frederick Hent

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Elliot Katz, (Claimant) vs. Adam Gitstein, (Respondent) Case Number: 99-00252 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Elliot Katz, hereinafter referred to as "Claimant": Theodore A. Krebsbach, Esq., Theodore A. Krebsbach & Associates, P.C., New York, NY. Respondent Adam Gitstein ("Gitstein"),hereinafter referred to as "Respondent": Aegis Frumento. Esq., Sing

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Janney Montgomery Scott Inc. NASD Case No. 99-00249 Hearing Location: Philadelphia, PA Name of Respondent James A. Litras REPRESENTATION OF PARTIES Claimant Janney Montgomery Scott Inc., hereinafter referred to as "Claimant," was represented by Joseph J. Dougherty, Esq., West Chester, Pennsylvania. Respondent James A. Litras, hereinafter referred to as

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant The Estate of Tito Augustine Rainieri Case No. 99-00248 Name of Respondents Salomon Smith Barney Inc. Peter J. Katevatis REPRESENTATION OF PARTIES Claimant, The Estate of Tito Augustine Rainieri ("Claimant), was represented by Eric J. Pritchard, Esq., of the law firm of Tannenbaum & Chanin, LLP, Philadelphia, PA. Respondents Salomon Smith Barney Inc. ("

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Maria E. Myers vs. Case No. 99-00243 Name of Respondents Gruntal& Co., L.L.C. Kenneth (aka Troy) Lowman REPRESENTATION OF PARTIES Claimant, Maria E. Myers, hereinafter referred to as "Claimant": Daniel J. Dugan, Esq., Spector Gadon & Rosen, Philadelphia, Pennsylvania Respondents, Gruntal & Co., ("Gruntal") and Kenneth (aka Troy) Lowman ("Lowman"), h

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John D. MacArthur, Claimant v. M.L. Stem & Go., Inc. and Ryan Lee Belmer, Respondents Case Number: 00-03273 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: For Respondents: Arthur S. Leider Investors Arbitration .Specialists, Inc. San Diego, California James D. Portman, Esq. M.L. Stern & Co., LLC Beverly Hills, Calif

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00242 Rudolph Primuth, claimant vs. Bluestone Capitol Fanners, L.P., respondent. ATTORNEYS: Claimant, Rudolph Primuth, appeared Pro Se., Racine, WI. For Respondent, Bluestone Capital Partners, L.P., appeared David S. Richan, Esq. of the firm Tenzer Greenblatt, L.L.P., New York, NY. DATE FILED: 01/20/99 " " " " ~~ CASE SUMMARY: Claimant alleged that when on

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00241 Sharon Klinger, claimant vs. Albert Kelsey and Guardian Investor Services Corporation, respondents. ATTORNEYS: Claimant, Sharon Klinger ("Klinger"), appeared Pro Se., Anacortes, WA. Respondent, Albert Kelsey ("Kelsey"), appeared Pro Se., Seattle, WA. Respondent, Guardian Investor Services Corporation ("Guardian"), did not respond to Claimant's Statem