f Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Brookshire Securities Corp. Case No. 00-03518 Hearing Site: Boca Raton, Florida Name of Respondent Stuart J. Simson REPRESENTATION OF PARTIES For Brookshire Securities Corp. ("Brookshire") hereinafter referred to as "Claimant": Sheldon Goldberg, Compliance Director, Principal, Brookshire Securities Corp. For Stuart M. Simson ("Simson") hereina

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-02107 Empire Financial Group, claimant vs. Byron Bums, respondent. ATTORNEYS: For Claimant appeared Randy Cupples, Compliance Officer, Longwood, FL. Respondent did not respond to the Statement of Claim. DATE FILED: May 6, 1999 CASE SUMMARY: Claimant alleged that respondent deposited a check into his account for the purchase of options contracts. Claimant further alleged that the ch

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02106 Edgar Almonte, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant Edgar Almonte ("Claimant"), appeared Pro Se., Bronx, New York. For Respondent E*Trade Securities, Inc. ("Respondent"), Henry W. Carter, E*Trade Securities, Inc., Palo Alto, California, DATE FILED: 05/06/1999 CASE SUMMARY: Claimant alleged that on December 3, 1998 he

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION CASE: 99-02105 Penny Bobrow, claimant vs. First Madison Securities, Inc., and Adam Gitstein, respondents. ATTORNEYS: For Claimant Penny Bobrow, appeared Valerie L. Forbes of BLS Legal Services Corp., Brooklyn, NY For Respondents First Madison Securities, Inc., and Adam Gitstein, appeared Ray Vahab, of First Madison Securities, Inc., New York, NY DATE FILED: May 6, 1999

NASD NASD Re 9 ulation > |nc - Office of Dispute Resolution JLATIPIM 125 Broad Street" 36lh Floor - New York. An NASD Compaiy Satellite Office at: 1735 K Street - 4th Floor * NW * Washington, DC 20006-1508 - 202-72&-8956 * Fax 202-728-6952 Office of Dispute Resolution REGULATION 125 Broad Street * 36lh Floor * New York. NY 10004-2193 * 212-958-4400 * Fax 212-853-4389 N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALER

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02103 Sharda Patel, Custodian for Sapna Patel, claimant vs. Josepthal & Co., Inc. and Swatik Majundra, respondents. ATTORNEYS: For Claimant appeared Gary A. Hurwitz, Esq. and Denise M. Montgomery, Esq. of the firm March, Hurwitz, DeMarco & Mitchell, Media, PA. For Respondents appeared Brian J. Neville, Esq. in-house counsel for Josepthal & Co., Inc., New Y

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02101 Charles Schwab & Co., Inc., claimant vs. James L, McLaughlin and JMJ Capital Corporation, respondents. ATTORNEYS: For Claimant appeared Stephen S. Berkley, Esq., Diane C. Fischer, Esq., and Linda A. Gallagher, Esq., of the firm Gomberg Kane & Fischer, Ltd. Respondents, James L. McLaughlin and JMJ Capital Corporation, did not enter appearances in this

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Dorothy Wardlow (Claimant) vs. Bear Stearns Securities, Corp., John Dawson & Associates, Inc., and Derrick Hardin Case Number: 99-02099 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Dorothy Wardlow ("Wardlow"): Christopher Bargione, Esq., Collins & Bargione, Chicago, Illinois. Respondent Bear Stearns Securities Corp.: Darya Geetter, Esq., Bear Stearns Securiti

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Gary M. Hock Case No. 99-02093 Name of Respondent Prudential Securities, Inc. REPRESENTATION OF PARTIES For Gary M. Hock ("Claimant"): George C. Covington, Esq. of the law firm of Kennedy, Covington, Lobdell & Hickman, L.L.P., Charlotte, North Carolina. For Prudential Securities, Inc. ("Respondent"): James P. McLoughlin, Jr., Esq. of the law

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Jeanette Maranto Case No. 99-02091 Names of Respondents Steven J. Buras Bane One Securities Corp. f/k/a Marquis Investments, LLC REPRESENTATION OF PARTIES For Jeanette Maranto, hereinafter referred to as "Claimant": Craig S. Sossaman, Esq. of Harvin & Sossaman, Metairie, LA. For Respondent Steven J. Buras, hereinafter referred to as "Buras"