NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC, CASE: 00-03514 Susan Johnson Vjfyll, and Randall J. Wall, Claimants vs. Danny J. Chapman and Merrill Lynch Pierce Fenner &| Smith, Inc., Respondents. ATTORNEYS: For Claimants appeared R. Scott Davies, Esq., of the firm Briggs and Morgan, Minneapolis, MN. For Respondents appeared Peter Bon Viso, Esq., in-house counsel for Merrill Lynch Pierce Fenner & Smith> Inc., New York, NY. DATE FILE

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Glenn L. and Nancy G. Wenger vs. Case No. 99-02064 Name of Respondent Ameritrade, Inc. REPRESENTATION OF PARTIES Claimants, Glenn L. and Nancy G. Wenger, hereinafter collectively referred to as "Claimants": Paul Crowiey, Esq., Downingtown, Pennsylvania Respondent, Ameritrade, Inc., hereinafter referred to as "Respondent": James J. Vihstadt, Esq

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Dr. Mark Rosenberg and 99-02063 Scottsdale, Arizona Name of Respondents Paradise Valley Securities, Inc. Anthony Silverman REPRESENTATION OF PARTIES Dr. Mark Rosenberg ("Claimant") was represented by Steven J. Rosenberg, Esq., Chicago, Illinois. Paradise Valley Securities, Inc. ("Respondent Paradise Valley") and Anthony Silverman ("Responden

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: George Hudson and Brenda Hudson (Claimants) vs. Ameritrade, Inc. (Respondent) Case Number: 99-02062 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimants George Hudson and Brenda Hudson ("Claimants") appeared prose. Respondent Ameritrade, Inc. ("Respondent"): James J. Vihstadt, Esq., Ameritrade Legal Department, Bellevue, Nebraska. CASE INFORMATION Statement

r Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Xiao J. Lo, Claimant v. E*Trade Securities, Inc., Respondent. Case Number: 99-02056 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Xiao J. Lo In Pro Per San Gabriel, California For Respondent: Ekwan E. Rhow, Esq. Bird, Marella, Boxer & Wolpert Los Angeles, California CASE INFORMATION Statement of Claim filed: May 4, 1999 Cla

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name Vauneva M. Jennings Case No. 99-02055 Nani6_f*.f Respondents National Securities Corporation; Frank Mathis, Jr.; The Boston Group; Robert Anthony DiMinico; Kye Hellmer; Scott Lee Mathis; Bonnie Lou Moore; and, Joseph Salvani Claimant Vauneva Jennings ("Jennings") was represented at the evidentiary hearing by Ronald C. Koksal, Esq., of the fi

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant M. Tariq Ansari Case No. 99-02049 Names of Respondents Jeff Baron M. All Khan Klein, Maus and Shire, Inc. Naseer Husain McKyle Clyburn REPRESENTATION OF PARTIES Claimant M, Tariq Ansari ("Ansari"), hereinafter referred to as "Claimant", appeared pro se. Respondent Jeff Baron ("Baron") did not appear. Respondent Mohammad Ali Khan ("Khan")

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Marcos Labandeira, (Claimant) vs. GFI Securities, Inc., (Respondent) Case Number: 99-02048 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Marcos Labandeira, hereinafter referred to as "Claimant": Stephen E. Tisman, Esq., Shiff & Tisman, New York, NY. Respondent GFI Securities, Inc., hereinafter referred to as "Respondent": Lauri F. Rasnick, Esq., Epste

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Randolph H. Guthrie III, Claimant v. Scon William Powers. Gregg Joseph Powers, William Kearney Powers Jr.. American Frontcer Financial Corporation f/k/a RAF Financial Corporation. Multisource Services. Inc.. Investor Associates. Inc.. Robert Herman Trapp. Troy Gerard Taggart, Jr.. Robert Harold Taggart. Jr., Eric Gamer Siroud, Charles Derby Struub. John Edward Shustcr, Jr., Evan M

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Nicholas S. Cocucci and Moi^u Cocucci (Claimants) vs. Merrill Lynch, Pierce, Former & Smith, Inc., (Respondent) Case Number: 99-02038 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Nicholas S. Cocucci and Marylou Cocucci, hereinafter collectively referred to as "Claimants 11 , appeared pro se. Respondent, Merrill Lynch, Pierce, Fenner & Smith