NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:00-05470 Julian L. Alfonso, claimant vs. Northridge Capital Corp., respondent. ATTORNEYS: Claimant appeared Pro Se, Miami, FL. Respondent failed to submit a response to the Statement of Claim. DATE FILED: December 11, 2000 CASE SUMMARY: Claimant alleged that respondent, his former employer, failed to pay him one month of his salary. Claim Data Award Data Claim: $5,400.00 Award

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants John J. and Susan N. Brown Case No. 99-04175 Name of Respondent Respondent Pierce Fenner & Smith Inc Hearing Location: Philadelphia, PA REPRESENTATION OF PARTIES Claimants John J. and Susan N. Brown ("Claimants") were represented by George J. D'Ambrosio, Esq., of the law firm of Owens, D'Ambrosio & Nescio, West Chester, PA. Respondent Responden

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Mary L. Pountnay Thomas C. Pountnay Jessup Electric, Inc. Case No. 99-04174 Name of Respondents Christopher W. Yoder Joseph R. Tomasello Tasin & Company, Inc. Hearing Location: Baltimore, MD REPRESENTATION OF PARTIES Claimants Mary L. and Thomas C. Pountnay and Jessup Electric, Inc.("Claimants") were represented by Thomas C. Costell

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jesup & Lamont Securities Corp., (Claimant) vs. C. Arthur, LLC, CCF Capital Group, Inc., Arthur Wheeler, Carlos B. Zadunaisky, Steven Nocito, David Nocito, Scott Wright, James Young, Louis Lore, Southeast Holdings, Leonard Thoubburon, Gerard Thoubburon, andWaylon McMullan, (Respondents) Case Number: 99-04170 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claima

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04168 Olde Discount Corporation, Claimant vs. Joe Bailey c/f Joanna Kate Bailey, Respondent. ATTORNEYS: Claimant Olde Discount Corporation ("Claimant"),appeared through its in-house counsel, Aaron L. Kleid, Esq., Detroit, ML Respondent Joe Bailey c/f Joanna Kate Bailey ("Respondent"), did not respond to the Statement of Claim. DATE FILED: September 10, 1999 CASE SUMMARY: Claima

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. CASE: 99-04167 George N. Koutsonicolis, Claimant vs. E*Trade Securities, Inc., Respondent ATTORNEYS: Claimant, George N, Koutsonicolis, ("Claimant"), appeared Pro Se, Chicago, IL Respondent, E*Trade Securities, Inc., ("Respondent"), appeared through its Senior Compliance Analyst, Bob Salvador, Menlo Park, CA. DATE FILED: September 10, 1999. CASE SUMMARY: Claimant alleged that he checked his acco

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Paine Webber, Inc., Claimant v. Daoud D. Mshaka, Respondent Case Number: 99-04165 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Gregory E. Copeland, Esq. Paine Webber, Inc. Los Angeles, California For Respondent: Daoud D. Mshaka In Pro Per Inglewood, California CASE INFORMATION Statement of Claim filed: September 9, 1999

MARK D. B 1 OV09/fQOO 10:3li FAX NASD REGULATION P. 02 ©003/004 N.A.S.D, REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE; 99-04164 Charles Schwab & Company, Inc,, claimant vs. Bill Westerheide, respondent. ATTORNEY'S: For Claimant Charles Schwab and Company > Inc. ("Claimant"), Stephen Berkley, Esq., Goombecg, Kane & Fischer, Ltd., Chicago, 1L. Respondent Bill Westerheide ("Respondent") did not respo

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Jeffrey G. Priskie and Lisa Damon Evans Case No. 99-04163 Names of Respondents Prudential Securities, Inc. Teresa Oliva REPRESENTATION OF PARTIES For Jeffrey G. Priskie ("Priskie") and Lisa Damon Evans ("Evans"), hereinafter collectively referred to as "Claimants"; Jeffrey Erez, Esq. and Jeffrey R. Sonn, Esq., Mager and Sonn, Fort L

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants/Counter Respondents Ferris, Baker Watts, Inc. James G. Stahl Case No. 99-04155 Name of Respondent/ Counter Claimant BGS&G Investment Services, Inc. REPRESENTATION OF PARTIES Claimants James G. Stahl ("Stahl") and Ferris, Baker Watts, Inc. ("FBW"), hereinafter collectively referred to as "Claimants", were represented by Craig F. Ballew, Esq., of the