N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02182 Janine Klein, claimant vs. John Bruno and J.W. barclay & Company, Inc., respondents. ATTORNEYS: Claimant Janine Klein ("Claimant") appeared Pro Se., Pomona, New York. For Respondents John Bruno ("Bruno") and J.W. Barclay & Company, Inc. ("J.W. Barclay") ("Respondents"), John Bruno, J.W. Barclay & Company, Inc., New York, New York. DATE FILED: 5/12/1999

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Harald Beck, Claimant vs. Quick & Reilly, Inc., Respondent. Case Number: 99-02177 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Harald Beck: Richard G. Carlston, Esq., Miller, Starr & Regalia, Walnut Creek, California Respondent, Quick & Reilly, Inc.: Philip A. McLeod, Esq., Keesal, Young & Logan, San Francisco, California CASE INFORMATION Sta

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Renzo Pedrazzi and Jean Pedrazzi, (Claimants) vs. Bishop, Rosen, Inc., Alexander, Wescott & Co., Inc., Uppal Sandeep, John J. Williams, Michael A, Affigne, Jr., Carl R. Walston, David M. Weiss, and Reed D, Weiser, (Respondents) Case Number: 99-02175 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Renzo Pedrazzi ("Mr. Pedrazzi") and Jean Pedrazzi ("Mrs. Pe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-02174 Estate of Steven F. Ondra, Claimant vs. Baxter Banks and Smith Ltd., Respondent. ATTORNEYS: Claimant appeared Pro, Se., through it Personal Representative, Arlene K. Kotecki ("Claimant"). Dyer, IN. For Respondent, Baxter Banks and Smith Ltd., ("Respondent"), appeared Martin McDermott, Baxter Banks and Smith, Ltd., St. Petersburg FL. DATE FILED: May 5, 1999 CASE SUMMARY: C

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02173 Robert Celentano and Lynn Celentano JTWROS, claimants vs. William Fusco, Jeffrey B. Cohen and Salomon Smith Barney, respondents. ATTORNEYS: Claimants Robert Celentano and Lynn Celentano ("Claimants"), appeared Pro Se., East Haven, CT. For Respondent William Fusco, Jeffery B. Cohen and Salomon Smith Barney (collectively "Respondents"), Ann Parry, Esq.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Thomas Dimitry, (Claimant) vs. H.J. Meyers & Co., Inc., Gary Waye, and S.G. Cowen Securities Corporation, (Respondents) Case Number: 99-02172 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, Thomas Dimitry, hereinafter referred to as "Claimant**: Russell J. Guglielmino, Esq., Law Offices of Russell J. Guglielmino, Rochester, NY. Respondent, H.J. Meyers &

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Michael Parker Case No. 99-02167 Names of Respondents Investors Associates, Inc. Herman Epstein Lawrence J, Penna James M. Vaughn William M. Cutrone Keith D. Grossman Glenn Lavender REPRESENTATION OF PARTIES Michael Parker ("Parker"), hereinafter referred to as "Claimant", appeared pro se. Respondents Investors Associates, Inc. ("Investo

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Delbert Snedacker, (Claimant) vs. Prudential Securities, Inc. and Helen Lauderdale, (Respondents). Case Number: 99-02166 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Delbert Snedacker, hereinafter referred to as "Claimant": Larry E. Meyer, Esq., Nelson, McCormick, Hancock & Newton, Houston, Texas. Respondents, Prudential Securities, Inc. ("Prudential") and Hele

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: OLDE Discount Corporation vs. Hamid Farida a/k/a Greenfield Investors Case Number: 99-2161 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, OLDE Discount Corporation, hereinafter referred to as "Claimant": Michael P. Knittel, Esq., and Aaron L Kleid, Esq., OLDE Discount Corporation, Detroit, Michigan. Respondent, Hamid Farida a/k/a Greenfield Investors, hereinafter

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Moses Greenfield, (Claimant) vs. Track Data Securities, (Respondent) Case Number: 00-03527 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Moses Greenfield, hereinafter referred to as "Claimant", appeared pro se. Respondent, Track Data Securities, hereinafter referred to as "Respondent": Joseph F. Keenan, Esq., a sole practitioner, New York, NY. Previously