Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Rosemary Johnson, as Successor in Interest to Larry and Sainty Malta, (Claimant) vs. Bodell Overcash Anderson & Co. and Jay Kates, (Respondents) Case Number: 99-01639 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant Rosemary Johnson as Successor in Interest to Larry and Sainty Malta, hereinafter referred to as "Claimant": Michael O. Morse, Esq., Buffalo, New York.

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Kim Mitchell Case No. 99-01637 Name of Respondents Barington Capital Group, L.P. Brandon Ross REPRESENTATION OF PARTIES For Kim Mitchell ("Mitchell"), hereinafter also referred to as "Claimant": Richard A. Stephens, Esq., Boca Raton, Florida. For Respondent Barington Capital Group, L.P. ("Barington 1 '): Clifford Thau, Esq. of

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Stephen C. Schulmerich, Claimant vs. Pacific Harbor Securities, Inc., Kenneth W. Wagner, Michael K. Wagner, Joanne Wagner, Sara Lynn Hannan and Larry R. Baldwin, Respondents. Case Number: 00-03479 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES Claimant, Stephen C. Schulmerich, hereinafter referred to as "Claimant": Stephen C. Schulmerich, Portland, Oregon Respond

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-01634 William F. May, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant, William F. May ("Claimant"), appeared Pro Se., Queen Creek, AZ. Respondent, E*Trade Securities, Inc. ("Respondent 11 ), appeared through its Compliance Analyst, Bob Salvador, Palo Alto, CA, DATE FILED: April 20, 1999 CASE SUMMARY: Claimant alleged that Respondent's manual and tradi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Michael R. Slavit Betsy E. Slavit Joyce Silverman Donald Cohen Jill Cohen vs. Case No. 99-01633 Name of Respondent Richard A. Durot REPRESENTATION OF PARTIES Claimants, Michael R. Slavit ("M. Slavit"), Betsy E. Slavit ("B. Slavit"), Joyce Silverman ("Silverman"): Michael R. Slavit, Warwick, Rhode Island Claimants, Donald Cohen ("D.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles Products, Inc., Marshall Cannon, Frank Stopak, and Glen Heitmann, (Claimants) v. Global Equities Group, Inc., Adam Townsend, Marcial F. Chiong, Jr,, Aleksander Shvarts, Aleks Paul, and Igor Eric Kuvykin, (Respondents) Case Number: 99-01632 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Charles Products, Inc. ("Charles Products"), Marshall Cannon ("C

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Charles F. Walker Trust Charles F. Walker, IRA Hester Jane Walker, IRA Cathy Walker Charles F. Walker, Jr. & Harriet Walker JTWROS Case No. 99-01630 Names of Respondents Raymond James & Associates, Inc. Steve Florio Daniel Stewart REPRESENTATION OF PARTIES For Claimants: Earle Lee Butler, Esq. of Earle Lee Butler, P.A., Ft. Lauderdale, FL.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Anita Klein and the Anita Klein Ten-Year Trust, (Claimants) vs. Prudential Securities Inc. and Alan Sobelman, (Respondents) Case Number: 99-01629 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Anita Klein ("Klein") and the Anita Klein Ten-Year Trust ("Trust"), hereinafter collectively referred to as "Claimants": Stephen L. Klein, Esq., a sole practitione

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01625 Yolande Assad, claimant vs. Steven Schwartz and Werbel-Roth Securities, Inc., respondents. ATTORNEYS: Claimant Yolande Assad ("Claimant") appeared Pro Se., Woodside, New York. For Respondents Werbel-Roth Securities, Inc. ("Werbel-Roth") and Steven Schwartz ("Schwartz"), Niel S. Baritz, Esq., Dreier & Baritz, Boca Raton, Florida. DATE FILED: 04/07/1999

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01621 Dana B. Levine, IRA, claimant vs. Muriel Siebert & Co., Inc., respondent. ATTORNEYS: Claimant, Dana B. Levine, IRA appeared through Dana B. Levine, La Jolla, CA. Respondent appeared through its Senior Vice President, Kevin J. Kelly, New York, NY. DATE FILED: 04/07/99 CASE SUMMARY: Claimant alleged that respondent took more than one month to open an I