AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant B.C. Ziegler and Company and 99-04153 Denver, Colorado Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Joel M. Block William Epping Larry D. Martin Annette K. Forney B.C. Ziegler and Company ("Claimant") was represented by Michael R. Wherry, Esq., Davis & Kuelthau, S.C., Milwaukee, Wisconsin. Merrill Lynch Pierce Fenner & Smith

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barbara D. Arner, Barbara D. Arner Trust, Barbara D. Arner, IRA, Claimants v. Everen Securities, Inc. n/k/a First Union Securities, Inc., Josef H. Snett, and JeffBouchard, Respondents Case Number: 00-05464 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: David S. Markun, Esq. Liner Yankelevitz Sunshine & Regenstreif LLP Santa Monica, California

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Jerimiah J. Hofer and La Thi Hofer and 99-04152 Scottsdale, Arizona Name of Respondent Charles Schwab & Company, Inc. REPRESENTATION OF PARTIES Jerimiah J. Hofer and La Thi Hofer ("Claimants") were represented by George R. Brown, Esq., Whitehall, Linden, Grynkewich & Halladay, Tucson, Arizona. Charles Schwab & Company, Inc. ("Respondent") was r

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant John Curington Case No. 99-04148 Names of Respondents Murphy & Durieu Mark Anthony Wild REPRESENTATION OF PARTIES For John W. Currington, hereinafter referred to as "Claimant": Raymer F. Maguire, III, Esq. of Pixel & Maguire, Orlando, FL. For Respondent Murphy & Durieu: Mark S. Gregory, Esq. of Kelley Drye & Warren LLP, New York, N.Y. Re

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Casey D. Carlton, (Claimant) vs. Dreyfus Brokerage Services, Inc., (Respondent) Case Number: 99-04146 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Casey D Carlton, hereinafter referred to as "Claimant": appeared pro se. Respondent, Dreyfus Brokerage Services, Inc., hereinafter referred to as "Respondent": Barry Asen, Esq., Roberts & Finger, LLP, New Yor

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04140 Merrill Lynch Pierce Fenner & Smith Inc., claimant vs. Empire Atlantic Capital Corp., respondent. ATTORNEYS: For claimant, Merrill Lynch, Pierce, Fenner & Smith Inc., appeared, Kathy D. Patrick Esq., of the firm, Gibbs & Bruns LLP, Houston, TX. Respondent Empire Atlantic Capital Corp., did not respond to the Statement of Claim. DATE FILED: September 8, 1999 CASE SUMMARY

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael & Annette LaCour vs. E*Trade Securities, Inc. Case Number: 99-4130 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimants Michael & Annette LaCour ("LaCours"), hereinafter collectively referred to as "Claimants": Alexis Beck, Esq., UAW-GM Legal Services Plan, Detroit, Michigan. Respondent, E*Trade Securities, Inc. ("E*Trade"), hereinafter referred to as "R

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants George Hughes Money Purchase Pension Plan George Hughes Profit Sharing Plan Case No. 99-04126 Names of Respondents Robert R. Blagojevich Invest Financial Corporation REPRESENTATION OF PARTIES For George Hughes Money Purchase Pension Plan (the "Pension Plan") and George Hughes Profit Sharing Plan (the "Profit Sharing Plan") (hereinafter collectively re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04124 Merrill Lynch, Pierce, Fenner and Smith, claimant vs. Turner Holdings, Inc., respondent. ATTORNEYS: For Claimant appeared Kathy D. Patrick, Esq. of the firm Gibbs & Bruns, LLP, Houston, TX. Respondent did not respond to the Statement of Claim. DATE FILED: September 8, 1999 CASE SUMMARY: Claimant alleged that respondent breached its customer agreement by to r^nnv an rMitiT^Tid

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04119 Your Discount Broker, claimant vs. Steven Otto, respondent. ATTORNEYS: Claimant, Your Discount Broker, ("Claimant"), appeared through its Executive Representative, William J, Eraser, Boca Raton, FL, Respondent, Steven Otto, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: September 7, 1999 CASE SUMMARY: Claimant alleged that Respondent liquidated his pos