Award NASD Dispute Resolution, Inc. of the In the Matter Ferer 1988 Lividj Surawa, Respondents Case Number: 1 Arbitration Between: Trust, Claimant v. First Union Securities, Inc., Dennis B. Dummit and Ernest Hearing Site: Los s, California REPRESENTATION OF PARTIES For Claimant: For Respondent^: Alan Buckholtz, Esq. Law Offices of Buckholtz & Associates Woodland Hills, California Michael M, Gless, Esq. Kee

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tim Demkin, (Claimant) vs. A.S. Goldmen & Company, Inc., (Respondent) Case Number: 00-00358 Hearing Site: New York, New York Claimant, Tim Demkin, hereinafter referred to as "Claimant": Frank M. Graziadei, Esq., Frank M. Graziadei, P.C., New York, NY. Respondent, A.S. Goldmen & Company, Inc., hereinafter referred to as "Respondent", did not make an appearance in this matter.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Marty Wick, Claimant vs. Piper Jaffray Inc. (now known as U.S. Bancorp Piper Jaffray Inc.), Respondent. Case Number: 99-01990 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES Claimant, Marty Wick, hereinafter referred to as "Claimant": Christopher B. Wells, Esq., Lane Powell Spears Lubersky LLP, Seattle, Washington Respondent, Piper Jaffray Inc., now known as U.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Kerby E. and Vera T. Galloway Case No, 99-01983 Names of Respondents David Michael Vitale George Anaya, Jr. Baxter, Banks & Smith, Ltd. Francis Martin McDermott Edward James Muller, Jr. John McGowan, III REPRESENTATION OF PARTIES ^ For Kerby E. and Vera T. Calloway, hereinafter collectively referred to as "Claimants": Frank W. Virg

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John S. Codes, Claimant v. Bear Stearns & Company and Bruce Alan Wisnicki, Respondents Case Number: 99-01982 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: John S. Codes In Pro Per Orange, California For Respondents Bear Stearns & Company Terry Ross, Esq. and Bruce Alan Wisnicki: Kessal, Young & Logan Long Beach, California CASE I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Insinger Trust (Jersey), Ltd, as Trustee of the Breakwater Trust (Claimant) v. Oscar Gruss & Son, Inc. and Michael David Rapoport a/k/a Michael Rapp (Respondents) Case Number: 99-01981 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Insinger Trust (Jersey), Ltd. as Trustee of the Breakwater Trust ("

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Monica Hickey May and Catherine Margaret May, (Claimants) vs. Schroder & Co., Inc., (Respondent) Case Number: 99-01977 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimants, Monica Hickey May and Catherine Margaret May, hereinafter collectively referred to as "Claimants": Robert L. Rotmil, Esq., Glauberman Kessler & Rotmil, LLP, New York, NY. Respondent, Schroder & Co

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, nf the Claimants Patrick L. Chalmers Adriene D. Chalmers . Number: 99-01975 Name nf the Wheat First Securities, Inc. John E. Atkinson Hearing Sire: Baltimore, MD REPRESENTATION OF PARTIES Claimants Patrick L. Chalmers and Adriene D. Chalmers, hereinafter collectively referred to as "Claimants", were represented by John H. West, 131, Esq., West &

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Charles Schwab & Company, Inc. vs. Case No. 99-01963 Name of Respondent Zemedeneh Negatu REPRESENTATION OF PARTIES Claimant Charles Schwab & Company, Inc., hereinafter referred to as "Claimant*': Edmund V. Saucedo, Esq., Charles Schwab & Company, Inc., San Francisco, California Respondent Zemedeneh Negatu, hereinafter referred to as "Respondent" did not app

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Everen Securities, Inc, n/k/a First Union Securities, Inc. and Name of Respondent Thomas R. Kangas 99-01958 Minneapolis, Minnesota REPRESENTATION OF PARTIES Everen Securities, Inc. n/k/a First Union Securities, Inc. ("Claimant") was represented by Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Thomas R. Kangas ("Respondent"