N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01824 Dilys Huang, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant, Dilys Huang, appeared Pro Se., San Marino, CA. Respondent, E*Trade Securities, Inc., appeared through Senior Compliance Analyst, Bob Salvador, Palo Alto, CA. DATE FILED: 04/20/99 CASE SUMMARY: Claimant alleged that E*Trade Securities, Inc.'s on-line trading system

I N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01823 Dilys Huang, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant Dilys Huang ("Claimant"), appeared Pro Se., San Marino, California. For Respondent E*Trade Securities ("Respondent"), Bob Salvador, Senior Compliance Analyst, Palo Alto, California. DATE FILED: 4/20/1999 CASE SUMMARY: Claimant maintained that on December 7, 1998

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Fred E. White, Jr. Case No. 99-01821 Names of Respondents Maidstone Financial, Inc. Darin Pankin Mike Newman John Palermo John Hopf Hearing Site: New Orleans, Louisiana REPRESENTATION OF PARTIES For Fred E. White, Jr. ("White"), hereinafter referred toas "Claimant": Philip E. Downer; HI; Esq. of Downer, Kyle & Wilhite, L.L.C., Shfeve

Award NASD Dispute Resolution, luc. In the Matter of the Arbitration Between Names of Claimants Sherrie S. and John E. Rieber Case No, 99-01818 Names of Respondents Gregory L. Luken Wiley Bros.-Aintree Capital, LLC REPRESENTATION OF PARTIES For Sherrie S. and John E. Rieber ("Rieber"), hereinafter collectively referred to as "Claimants": Steven J. Card, Esq. of the law firm of Page, Gard, Smiley & Bishop, LLP, Atlanta, Georgia. For G

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David R. and Patricia Kiehn, Claimants vs. Whale Securities Co., L.P. and Semos Kostidakis, Respondents; and Whale Securities Co., L.P., Third-Party Claimant vs. SG Cowen Securities Corporation, Third-Party Respondent. Case Number: 99-01815 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES Claimants, David R. and Patricia Kiehn, hereinafter referred to as "Claimants"

Award NASD In the Matter of the Arbitration Between: Names of the Claimants George St. John and Diane St. John Name of the Respondent Clive Cholerton Case Number: 00-03494 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For George St. John and Diane St. John, hereinafter collectively referred to as "Claimants": Russell L. Forkey, Esq., Russell L. Forkey, P.A., Ft. Lauderdale, Florida. For Clive Cholerton, hereinafter referred

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE:99-01814 Linda A. Mikesh, claimant vs. Prudential Securities and John Bud Larsen, respondents. ATTORNEYS: For Claimant Linda A. Mikesh, ("Claimant"), Charles W. Austin, Jr., Esq., Richmond, VA. For Respondents Prudential Securities, Inc., and John Bud Larsen, (Collectively "Respondents"), Marci B. Gold, Esq., Prudential Securities, Inc., New York, NY. DATE FILED

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. Case No. 99-01811 Name of Respondent Michael James Bock REPRESENTATION OF PARTIES For Prudential Securities, Inc. ("Prudential"), hereinafter referred to as "Claimant": Steven P. Gomberg, Esq. of Gomberg Kane & Fisher, Ltd., Chicago, Illinois. For Michael James Bock ("Bock"), hereinafter referred to as "Respondent": David M.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: John Dello Buono, (Claimant) vs. BT Alex Brown and Wall Street Access, (Respondents) Case Number: 99-01804 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant John Dello Buono, hereinafter referred to as "Claimant": Brian A. Carlis, Esq., Stark & Stark, Princeton, New Jersey. Respondents, BT Alex Brown, Inc. ("Alex Brown") and Wall Street Access ("WSA"), hereinafte

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01800 Anthony Federico, claimant vs. ICMA Retirement Corporation, respondents. ATTORNEYS: Claimant Anthony Federico ("Claimant"), appeared Pro Se.. Princeton, New Jersey. For Respondent ICMA Retirement Corporation ("Respondent"), Elizabeth Hoop Faye, Esq., Morgan, Lewis & Bockius LLP, Philadelphia, Pennsylvania. DATE FILED: April 19, 1999 CASE SUMMARY: Cla