N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02139 Charles Schwab & Co., Inc., claimant vs. Hai Victor Do, respondent. ATTORNEYS: For Claimant appeared in-house counsel members, Richard A. Karoly, Esq. and Mauricio S. Beugelmans, Esq., San Francisco, CA. Respondent appeared Pro Se., Lafayette, LA. DATE FILED: 05/10/1999 CASE SUMMARY: Claimant maintained that on or about November 30, 1998 unsolicited

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Maria Gionet, (Claimant) vs. Allmerica Investments, Inc. and Ronald P. Kashmanian, (Respondents) Case Number: 99-02131 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Maria Gionet ("Gionet"), hereinafter referred to as "Claimant": Keven A. McKenna, Esq., Keven A. McKenna, PC, Providence, RI. Respondent, Allmerica Investments, Inc. ("Allmerica"): Stephen B.

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Merrill Lynch Pierce Fenner & Smith, Inc. vs. 99-02130 Name of Respondents Dean Witter Reynolds, Inc. Jeffrey W. Bass REPRESENTATION For Merrill Lynch, Pierce, Fenner & Smith Inc. ("Claimant") appeared Christopher P. Stief, Esq. and Timothy S. Cole, Esq., Rubin & Associates, P.C., Paoli, Pennsylvania. For Jeffrey Bass ("Bass") appeared John H. West III

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Salomon Smith Barney, Inc. and Name of Respondent Michael G. Willis Name of Claimant Michael G. Willis and Name of Respondent Salomon Smith Barney, Inc. 99-02108 (cons with 99-02127) 99-02127 (cons with 99-02108) REPRESENTATION OF PARTIES Salomon Smith Barney, Inc. ("Claimant") was represented by Brent Rychener, Esq. and Richard Nagl

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Sun-Pacific Enterprises, Inc. Joseph C. Sun Case No. 99-02125 Names of Respondents E*TRADE Securities, Inc Michael Bruce Thompson Christos Michael Costakos REPRESENTATION OF PARTIES Sun-Pacific Enterprises, Inc. ("Sun-Pacific") and Joseph C. Sun ("Sun"), hereinafter collectively referred to as "Claimants", appeared pro se. For E*TRADE Securiti

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Claire Tatum, (Claimant) vs. Prudential Securities, Inc. and Helen M. Lauderdale, (Respondents). Case Number: 99-02123 Hearing Site: Houston. Texas REPRESENTATION OF PARTIES Claimants, Claire Tatum, hereinafter referred to as "Claimant": Larry Meyer, Esq., Nelson, McCormick, Hancock & Newton, Houston, Texas. Respondents, Prudential Securities, Inc. ("Prudential") and Helen M. Laud

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Kunle and Stephanie Rosanwo vs. Case No. 99-02122 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Sean P. Campbell, Esq. David Dixon REPRESENTATION OF PARTIES Claimants, Kunle and Stephanie Rosanwo, hereinafter collectively referred to as "Claimants": Joseph L. Demeo, Demeo & Associates, Boston, Massachusetts Respondents, Merrill Lync

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Antonio Masci, Iginio Masci, Iginio Masci a/c/f Christopher Masci, Frances Masci, and Mastown Construction Co., Inc., Profit Sharing Plan (Claimants) vs. Olde Discount Corporation and John B, Inferrera, (Respondents) Case Number: 99-02117 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimants, Antonio Masci ("A. Masci"), Iginio Masci ("I. Masci"), Iginio Masci a/c

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Esther Thielking and George Brown Case No. 99-02115 Name of Respondents PaineWebber, Inc. Richard Rothman Robert Taraska, Jr. REPRESENTATION OF PARTIES Claimants Esther Thielking and George Brown ("Claimants") were represented by Steven M. Dranoff, Esq. of the law firm of Dranoff Perlstein Associates, Philadelphia, PA. Respondent

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02113 Jeff Maillo, claimant vs. Brookstreet Securities Corporation and Donovan Lazar, respondents. ATTORNEYS: For Claimant Jeff Maillo ("Claimant"), G. Mark Brewer, Esq., The Brewer Law Firm, LaJolla, California. For Respondent Brookstreet Securities Corporation ("Brookstreet"), H. Thomas Fehn, Esq., Fields, Fehn & Sherwin, Los Angeles, California. Respond