Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. Case No. 99-01953 Name of Respondent Olcott International Ltd. REPRESENTATION OF PARTIES For Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill"), hereinafter referred to as "Claimant": Keith Olin, Esq. and Bennett Falk, Esq. of Morgan Lewis & Bockius, LLP, Miami, Florida. *: For Olcott International Lt

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ethelmae Grothe, individually and as trustee of the Etheimae Grothe 1990 Trust, Claimant v. Sy Leavitt Company, Inc. n/k/a American Pacific Securities. Inc., Jack White & Company, Inc. n/k/a TD Waterhouse Investor Services. Inc., Centurion Capital Management. L.L.C., and Richard C. Johns, Respondents Case Number: 00-03504 Hearing Site: San Diego, California REPRESENTATION

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Wesley A. Smith ("Claimant") vs. LeRoy C. Kopp ("Respodent") Case Number: 99-01949 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Wesley A. Smith ("Smith"): Thomas M. Knepper, Esq., Knepper & Gladney, Chicago, (Illinois. Respondent LeRoy C. Kopp ("Kopp"): Steven Phillips, Esq., Forth & Anthony, Minneapolis, Minnesota. CASE INFORMATION Statement of Claim

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gary Niedert and Johanna Niedert, Claimants vs. Madison Capital Markets Corp., Vincent Napolitano and Michael Metter, Respondents. Case Number: 99-01947 Hearing Site: Milwaukee. Wisconsin REPRESENTATION OF PARTIES Claimants, Gary Niedert and Johanna Niedert (Niedert) (hereinafter referred to as "Claimants"), were represented by Michael H. Schaalman, Esquire of Quarles & Br

V*. Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant William Rex Waterall Trust Case No. 99-01943 Name of Respondent Discover Brokerage Direct, Inc. REPRESENTATION OF PARTIES For Claimant: Ronald D. Kelsay, Esq. of Carl A. Crow, Jr. & Associates, Hot Springs, AR. For Respondent: Robert T. Sullwold, Esq. of Sullwold & Hughes, San Francisco, CA. CASE INFORMATION Statement of Claim filed on or about: Apr

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01941 Dorothy L. McCafferty Trust, claimant vs. Prudential Securities, Inc., and Hank Mark Werner, respondents. ATTORNEYS: For Claimant Dorothy L. McCafferty Trust ("Claimant"), Charles W. Austin, Jr., Esq., Charles W. Austin, J.R., P.C., Richmond, Virginia. For Respondent Prudential Securities ("Prudential"), Joan L. Schwartz, Esq., in-house counsel for P

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Daniel N. Talcoit Claimant vs. Interpacific Investor Services, Inc., Respondent. Case Number: 99-01938 Hearing Site: Seattle, WA REPRESENTATION OF PARTIES Claimant, Daniel N. Talcott (hereinafter referred to as "Claimant 11 ): In Pro Per, 821 142 nd Place, SE#C, Bellvue, WA 98007 Respondents, Interpacific Investor Services, Inc., (hereinafter referred to as "Respondent

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Raymond A. Rubin and Eunice I. Rubin Revocable Trust, Claimants Case Number: 99-01937 vs. Hearing Site: Milwaukee, Wisconsin Alvaro F. Dumancella, Redstone Securities, Inc., Fred Eugene Plan Robert Francis Ryder, Jr., and Madison Capital Markets Corp., Respondents. REPRESENTATION OF PARTIES Claimants Raymond A. Rubin and Eunice I. Rubin Revocable Tr

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-01935 Tercila Giovannini, claimant vs. Christopher Kilroy and Nationsbanc Investments, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se, Boca Raton, FL. Respondent Christopher Kilroy appeared Pro Se, Denver, CO. For Respondent Nationsbanc Investments, Inc., appeared Richard B. Warren, Kelley & Warren, P.A., West Palm Beach, FL. DATE FILED: April 27, 1999 CASE SUMMARY

N.A.S.D. REGULATION AWARD NATIONAL ASSOCTATTONJ3F SECURITIES DEALERS REGULATION. INC CASE: 99-01934 Charles Schwab & Co.,Inc., claimant vs. Edward Sitzicr, respondent. ATTORNEYS. For Claimant Charles Schwab & Co., Inc. ("Claimant"), Richard A. Karoly, Esq.. Charles Schwab & Co., Inc., San Francisco, California. Respondent Edward Sitzlcr ("Respondent"), did not respond to the Statement of Claim. DATE FILED: 04/27/1999 CASE SUMMARY: Claimant alleged t