Award NASD Regulation, Inc. In the Matter of the Arbitration Between: The Katz Family Foundation vs. Kennedy Cabot & Company n/k/a Calabasas Asset Holding Company Case Number: 99-04064 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES The Katz Family Foundation & Company ("Katz"): Bradley J. Waller, Esq., Klein, Stoddard, Buck & Waller, DeKalb, Illinois Respondent Kennedy Cabot, n/k/a Calabasas Asset Holding Company ("Kennedy Cabot"): Ge

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants James Samuel Reeves and Quyen Thi Reeves Case No. 99-04054 Names of Respondents Edward D. Jones & Co. Michael K. Root REPRESENTATION OF PARTIES For James Samuel Reeves and Quyen Thi Reeves ("Reeves"), hereinafter collectively referred to as "Claimants": George L. Beck, Jr., Esq. of the law firm of Beck & Byrne, P.C., Montgomery, Alabama and Warren Row

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04053 Olde Discount Corporation, claimant vs. Rose Olivier and Sherry Zucker, respondents. ATTORNEYS: For Claimant, Olde Discount Corporation, ("Claimant") appeared in-house counsel, Aaron L. Kleid, Esq., Detroit, MI. Respondents Rose Olivier and Sherry Zucker (collectively "Respondents"), did not respond to the Statement of Claim. DATE FILED: September 3, 1999 CASE SUMMARY: Cl

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Wallace W. McCoy Trust, Claimant v. Morgan Stanley Dean Witter Inc. and Richard Balaes, Respondents Case Number: 00-05460 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California For Respondents: James D. Yellen, Esq. Morgan Stanley Dean Witter Inc. New York, N

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Penson Financial Services, Inc., Claimant v. Toyama Enterprise, Inc., Respondent Case Number: 99-04051 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Thomas W. Craddock, Esq. Wm. David Simmons, Esq. McGuire, Craddock, Strother & Hale, P.C. Dallas, Texas For Respondent: Did Not Appear CASE INFORMATION Statement of Claim filed: Sept

STIPULATED AWARD NASD Dispute Resolution, Inc. Case No. 99-04044 Southfield, Michigan In the Matter of the Arbitration Between Name of Claimant Jason Guerreso and Mario Guerreso Name of Respondent Datek Online Brokerage Services* Corp. Name of Counter-Claimant Datek Online Brokerage Services, Corp. Name of Counter-Respondents Jason Guerreso and Mario Guerreso REPRESENTATION For Claimants and Counter-Respondents, Jason Guerreso an

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dr. M. Amirul Islam, (Claimant) vs. Quick & Reilly, Inc., (Respondent) Case Number: 99-04041 Hearing Site: Philadelphia, Pennsylvania REPRESENTATION OF PARTIES Claimant, Dr. M. Amirul Islam, hereinafter referred to as "Claimant": Marc S. Henzel, Esq., a sole practitioner, Philadelphia, PA. Previously represented by: Anthony J. Horn, Esq., a sole practitioner, Philadelphia, PA.

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ruby Standage (Claimant) vs. Norwest Investment Services, Inc. and Bruce Shafer (Respondents). Case Number: 99-04038 Hearing Site: Dallas, Texas Claimant, Ruby Standage, ("Claimant"): Patrick J. Kanouff, Esq.: Davis & Ceriani, Denver, Co. Respondents, Norwest Investments Services, Inc. and Bruce Shafer ("Respondents"): John S. Lutz, Esq., LaBoeuf, Lamb Green & MacRae, Denv

N.A.S-D, REGULATION AWARD NATIONAL ASSOCIATION OF Sgffffi^T^IES DEALERS REGUL^JION. INC. CASE: 99-04037 Elizabeth Pecoraio-James, claimant vs. San Clements Securities, Inc., Allen and Munvy Financial Services, Carol May Allen, and Elate Somerset Murray, respondents. ATTORNEYS: ~ Claimant Elizabeth Pecotaro-James ("Claimant"), appeared Pro Se. f Daytona Beach, Florida. For Respondent San Clemente Securities ("San Clemente"), Bradley S. Pauley, Paul,

N.A.S.D, REGULATION, INC. AWARD CASE:98-00494 Earl F. Smith, claimant vs. Ameritrade, respondent. ATTORNEYS: Claimant appeared Pro Se. - Riverside, CA. For respondent appeared James A. Ricketts - Omaha, NE. DATE FILED: 2/9/98 CASE SUMMARY: Claimant alleged failure to execute. Claim Data Award Data Claim: $3,075.00 Award: $375.00 Interest: Requested , Interest: 10% 9/23/97 - 9/23/98 Filing Fees: $.00 Filing Fees: $125.00 Other: $.00 Other