Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David Daniels and Susan Daniel, (Claimants) vs. Michael S. Huber and Waterford Capital, Inc. (Respondents]. Case Number: 99-04886 Hearing Site: Dallas, Texas REPRESENTATIQNQF PARTIES Claimants, David Daniels and Susan Daniels, ("Claimants"): Kevin P.Conway, Esq.: Conway & Conway, located in New York, New York. Respondent, Waterford Capital, Inc. ("Respondent Waterford"): G

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant John V. Piraino Revocable Trust Case No. 99-04885 Names of Respondents A.G. Edwards & Sons, Inc. Randy S. Koontz REPRESENTATION OF PARTIES For John V. Piraino Revocable Trust, hereinafter referred to as "Claimant": John M. Scott, Esq. of the Everett Law Firm, Fayetteville, AR. For A.G. Edwards & Sons, Inc. ("AGE") and Randy S. Koontz ("Koontz"),

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04883 Robert Waltber and Martha Walther, claimants vs. Robert Cuillo and Glenn Michael Financial, Inc., respondents. ATTORNEYS: Claimants appeared pro se through Robert Walther, Cincinnati, OH. For Respondents appeared Lawrence R, Gelbet, Esq., New York, NY. DATE FILED: October 29, 1999 CASE SUMMARY: Claimants alleged that respondents purchased shares of stock without their aut

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jeffrey McGinley and Kristine McGinley, Claimants v. Salomon Smith Barney, Inc., Lee Tripodi, Ron Oliver and Dean Williams, Respondents Case Number: 99-04877 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Paul W. Thomas, Esq. Paul W. Thomas & Associates Carlsbad, California For Respondents: Linda R. Alpert, Esq. Salomon Sm

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Joel D. Kenwood, individually and as Trustee of the Joel D. Kenwood Revocable Trust Case No. 99-04876 Names of Respondents Dean Witter Reynolds, Inc. Stuart Bruce Gerber REPRESENTATION OF PARTIES For Joel D. Kenwood Revocable Trust ("Kenwood Trust") and Joel D. Kenwood, individually ("Kenwood"), hereinafter collectively referred to

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Michael O*Malley, individually and as General Partner of Mark IV LLC Partnership; and Mark IV LLC Partnership. Case No. 99-04867 Hearing Site: Indianapolis, Indiana r Claim Bear, Stearns Securities Corp.; John H. Dawson & Associates, Inc.; Peter hi Cho; Simon Chong; John H. Dawson; Douglas F. Samuels; Ravindranath Yanamadula; Marc E. Willis; Daniel Hong; Deron C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard C. Allard, (Claimant) vs. Salomon Smith Barney, Inc. and Kevin N. Hansen., (Respondents). Case Number: 99-04865 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES Richard C. Allard "Claimant": James A. Oliver, Esq. Short Cressman & Burgess Seattle, Washington Salomon Smith Barney and Kevin N. Hansen "Respondents": Christopher O'Malley, Esq. Salomon

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Stifel, Nicolaus & Company, Inc. (Claimant) vs. G. Bradley Taylor (Respondent) Case Number: 99-04859 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Stifel, Nicolaus & Company, inc. ("Stifel"): Peter R. Sonderby, Law Offices of Peter R. Sonderby, Chicago, Illinois Respondent G. Bradley Taylor ("Taylor") was pro se CASE INFORMATION Statement of Claim filed on

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: nf t1v> Plpimant P^CP Numlw 00-05521 PTRInc. Ronald Vivenzio H p nri n g ^itf • Philadelphia, PA PATTTF.S Claimant, PTR Inc. ("PTR"), hereinafter referred to as "Claimant," was represented at the hearing, by its President, James Crompton. Respondent, Ronald Vivenzio ("Vivenzio"), hereinafter referred to as "Respondent," represented himself at the he

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jorge Caso-Bercht (Claimant) CIBC Oppenheimer Corporation Morton Tinkelman (Respondents) Privat Kredit Bank Institutional Investments, S.A. Miguel Madero O'Brien Inter-American Securities Samba, Inc. Jamie Kalb (Third-Party Respondents) Case Number: 99-04853 Hearing Site: NewYork, New York REPRESENTATION OF PARTIES Claimant, Jorge Caso-Bercht