t V. • Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: LINDA L. PREMO, Claimant, v. SALOMON SMITH BARNEY, INC. and John Doe, jointly and severally, Respondents. Case No.: 99-05220 Hearing Location: Saginaw, Michigan REPRESENTATION OF PARTIES Claimant, Linda L. Premo ("Premo"), hereinafter referred to as "Claimant": Laurence S. Schultz, Esq., Driggers, Schultz & Herbst, Troy, Michigan. Respond

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Derrick H. Richardson Case No. 99-05217 Intersecurities, Inc. Aegon USA, Inc. Western Reserve Assurance Co. of Ohio AUSA Life Insurance Company, Inc. Diversified Investment Advisors Hearing Sitp- Washington, D.C. RFPRFSFNTATTON OF PAttTTFS Claimant, Derrick H. Richardson ("Claimant") was represented by: David C. Simmons, Attorney at Law, Washington, D.C., an

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Cantor Fitzgerald & Co., (Claimant) vs. Tradition (North America) Inc. and Lainee Karpus, (Respondents) Case Number: 99-05215 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Cantor Fitzgerald & Co., hereinafter referred to as "Claimant": Chaya F. Weinberg-Brodt, Esq., Kronish Lieb Weiner & Hellman LLP, New York, NY. Respondents, Tradition (North Americ

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lisa Snitkoff and Richard Snitkoff, (Claimants) vs. Glen Sher and Advest, Inc., (Respondents) Case Number: 99-05211 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Lisa Snitkoff and Richard Snitkoff, hereinafter collectively referred to as "Claimants": Eric J. Sussman, Esq., Garden City, NY. Respondents, Glen Sher ("Sher") and Advest, Inc., ("Advest"), hereinaf

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gordan Nevin, Claimant v. Michael Anthony Pollacia and John Rojas, Respondents Case Number: 99-05206 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Gordan Nevin, hereinafter referred to as "Claimant": Russell L. Forkey, Esq., Russell L. Forkey, P.A., Fort Lauderdale, Florida. For John Rojas ("Rojas"): Alan J. Foxman, Esq., The Law Office of Alan J. Foxman, Boc

r NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-05202 Merrill Lynch, Pierce, Fenner and Smith, Inc., claimant vs. Russell L. Keeton, respondent. ATTORNEYS: For Claimant appeared Suzanne S. Killian, Esq. of the firm Ogden, Gibson, White & Broocks, LLP, Houston, TX. Respondent did not respond to the Statement of Claim. DATE FILED: November 15, 1999 f" 1 A ^P 1 ^T"f"Vf"\/f A T?V' f^l limn tit n11»rrp>r( tT^ot-

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants') Gabrielle Rhodes Handler, and Michael Scott Handler, individually, and as trustees for the Gabrielle Rhodes Handler Revocable Trust and Michael S. Handler Revocable Trust, and as custodians for the Stacy Nicole Handler UGMA Account and David Eric Handler UGMA Account and 99-05200 Kansas City, Missouri Name of Respondent(s) Morgan Stanley Dean Witter

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant(s) Jeffrey Schlegei & Martha McKibben and 99-05198 Tucson, Arizona Name of Respondents) First Liberty Investment Group, Inc. Peter Laurella Michael Palmer Richard E. Madison, Jr. Chintu Dalvi REPRESENTATION OF PARTIES Jeffrey Schlegei & Martha McKibben ("Claimants") were represented by George O. Krauja, Esq., Fermemore Craig, Tucson,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: William Donovan and Cheryll Donovan, (Claimants) v. J.B. Sutton Group, Inc. and Bill Grundig, (Respondents) Case Number: 99-05196 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant William Donovan and Cheryll Donovan ("Donovan"): Peter W. Vogt, Cozen & O'Connor: Charlotte, North Carolina. Respondent J.B. Sutton Group, Inc. and Bill Grundig ("Grundig") h

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Alfa MDG Corporation, (Claimant) vs. E*Trade Securities, Inc., (Respondent) Case Number: 99-05193 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Alfa MDG Corporation, hereinafter referred to as "Claimant": Philip M. Giordano, Esq., Giordano & Champa, P.A., Boston, MA. Respondent, E*Trade Securities, Inc., hereinafter referred to as "Respondent": Paul S