Modified Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joseph Charles Christie, (Claimant) vs. Grady & Hatch and Company, Inc. (Respondent) Case Number: 01-02257 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Joseph Charles Christie, hereinafter referred to as "Claimant": appeared pro se. Respondent, Grady & Hatch and Company, Inc., hereinafter referred to as "Respondent", did not appear at the heari

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Hellman Family Trust, Claimant v. San Clemente Securities, Inc., Stephen J. Kelso, Otto C. Johnson, Thomas H. Sunderland and Cooke B. Christopher, Respondents Case Number: 01-00020 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondent San Clemente Securities, Inc.

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #32-01549 AWARD In the Matter of the Arbitration Between Jonathan Wahl Claimant vs. Kidder, Peabody it Company, Inc. John J. Roche Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 6, 1992, Claimant Jonathan Wahl, who appeared Pro Se, alleged that in early March he contacted Respondent Kidder, Peabody & Compan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of' Claimants John M. and Catherine D. Wildman 92-01544 Name of Respondents Charles Schwab & Company. Inc. William Sweat Lisa Johnson John Hall REPRESENTATION For Claimants John M. and Catherine Wildman ("Claimants"): Daryl J. Hudson. HI. Attorney at Law For Respondents Charles Schwab & Co.. Inc.. Bill Sweat. Lisa Johnson and J

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) John & Judy Fitzgerald Case No. 92-01543 Name of Respondent(s) Shearson Lehman Button, Inc. Ira Weiner For Claimants, John and Judy Fitzgerald ("the Fitzgeralds"): J. Anthony Penry, Esq. and Anne E. Essaye, Esq. of Petree Stockton & Robinson. For Respondents, Shearson Lehman Brothers ("Shearson") and Ira Weiner ("Weiner")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Tucker Anthony Incorporated vs. Case # 92-01538 Name qf Respondent Murray Rosenberg RFPR MENTATION For Claimant: Tucker Anthony, Inc., ("Claimant") William T. Marshall. Jr., Esq. from the law firm of Sullivan & Marshall. Respondent. Murray Rosenberg, ("Rosenberg") did not appear at the hearing. CASE INFORMATION Stat

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASK 392-01536 AMAHD In the Matter of the Arbitration Between Dennis A. Meier Claimant vs. Tim Peck Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 5, 1992, Claimant Dennis A. Meier, who appeared Pro Se, alleged that Respondent Tim Peck, formerly with William Barton Financial, Inc., solicited him to purchase shares of

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Keitha K. Sheviin 92-01534 Name of Respondent Curtis J. Connolly CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 5. 1992, Claimant Keitha K. Sheviin, who appeared Pro Se. alleged that Respondent Curtis J. Connolly of the firm First Affiliated Securities, now bankrupt, mi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Huntington Group, P.C. Savings PI. et al 92-01533 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Robert Appel David Stulberg REPRESENTATION For Claimants, Huntington Group, P.C. Savings Plan et. al: Jonathan B. Frank, Esq. of Mason, Steinhardt, Jacobs & Perlman. For Respondents, Merrill Lynch, Robert Appel

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03182 Steven H. Glazer, claimant vs. First Union Brokerage Services, Inc., respondent. ATTORNEYS: Claimant Steven H. Glazer ("Claimant"), appeared Pro Se., Boynton Beach, FL. For Respondent First Union Brokerage Services, Inc., ("Respondent"), Barbara H. Wright, Esq. First Union Corporation-Legal Division, Charlotte, NC. DATE FILED: July 12, 1999 CASE SUMM