N.A.S.D, REGULATION AWARD NATIONAL ASSQC^4TTQN OF SECURITIES DEALERS JRE^TJL^ JION. CASE: 99-01615 Martin J, Schreiber and Elaine Schreiber, claimants vs. Prentice Securities, respondent. ATTORNEYS: Claimants Martin J, and Elaine Schreiber ("Claimants") appeared Pro Se., Milwaukee, Wisconsin. For Respondent Prentice Securities ("Respondent"), David J. Base, Esq., Cook & Franke. Milwaukee, Wisconsin. DATE FILED: 04/06/1999 CASE SUMMARY: Claimants

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01613 Gregory A. Rhoads, claimant vs. Ameritrade, Inc., respondent. ATTORNEYS: Claimant Gregory A. Rhoads ("Claimant") appeared Pro Se, Margate, NJ. For Respondent Ameritrade, Inc. ("Respondent") appeared in-house counsel James J. Vihstadt, Esq., Bellevue, NE. DATE FILED: 04/06/99 CASE SUMMARY: Claimant alleged that on January 8, 1999 Claimant called Ameri

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cataway, LLC (Claimant) v. Accutrade, Inc. and Advanced Clearing, Inc. (Respondents) Case Number: 00-03474 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Claimant Cataway, LLC ("Cataway") hereinafter referred to as "Claimant": Gregory A. Sioris, Esq., Sioris and Molumby, New York, NY. Respondents Accutrade, Inc. ("Accutrad

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Rochell P. Saunders and Scott Saunders, Claimants v. A.G, Edwards & Sons, Inc. and Paul David Neuner, Respondents Case Number: 99-01610 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Robert A. Uhl, Esq. Ryan K. Bakhtiari, Esq. Aidikoff&Uhl Beverly Hills, California For Respondents: William S. Port, Esq. A.G. Edwards &

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01608 Mai N. To, claimant vs. Walter WaiTak Light and d/b/a Light Securities, respondents, ATTORNEYS: Claimant, Mai N. To, appeared Pro Se., Oakland, CA. For Respondents, Walter WaiTak Light and d/b/a Light Securities, appeared Irving Pfeffer, Esq. of the firm Pfeffer & Williams, P.C., San Francisco, CA. DATE FILED: 04/06/99 ~ CASE SUMMARY: Claimant allege

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Trevor Resnick Michael and Bonnie Duchowny Allen and Susan Fuller Ronald Fieldstone Luis and Marielle Alvarez L.A.A.F., LLC Falcon Investments, Inc. Hyman and Lillian Resnick Arthur L. Diskin, M.D. Harari, Porter, Blumenthal and Brown M.D., P.A. Pension Plan Case No. 99-01607 Name of Respondent R.K. Grace and Co. REPRES

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Alice Harris, f/k/a Alice Boykin, Claimant v. A. G. Edwards & Sons, Inc. and George Hill, Respondents Case Number: 99-01604 Hearing Site: Los Angeles, California For Claimant: For Respondents: REPRESENTATION OF PARTIES Mitchell J. Albert, Esq. Albert and Will, LLP Torrance, California Michael Naccarato, Esq. A. G. Edwards & Sons, Inc. St. Louis, Missouri

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01602 Richard A. Pozas, claimant vs. Brookstreet Securities Corporation and Donovan Morgan Lazar, respondents. ATTORNEYS: For Claimant Richard A. Pozas ("Claimant"), G. Mark Brewer, The Brewer Law Firm, La Jolla, California. Respondent Donovan M. Lazar ("Lazar"), appeared Pro Se., San Jose, California. For Respondent Brookstreet Securities Corporation ("Br

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Marion S. Friedman and Seeger-Fisher Family Limited Partnership and 99-01597 Minneapolis, Minnesota Name of Respondents Passport Securities, Inc. Pentad Securities, Inc. Grant Darrin Seeger REPRESENTATION OF PARTIES Marion S. Friedman and Seeger-Fisher Family Limited Partnership ("Claimants") were represented by Floyd E. Siefferman, Jr.,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lisa Walter, Ed Hanks, Hanwill Limited Partnership, Patricia Burbank, David S. Becker, Glen Burger, Henry F. Evans DMD Profit Sharing Plan, James Felt, James Seltzer, Rachel E. Seltzer UTMA/CA, Robert I. Seltzer UTMA, James M. Seltzer, M.D. Inc. PSP #1, James M. Seltzer, M.D. PSP #2, Emilie Spear, Claimants v, Sentra Securities Corporation, Robert Plomgren, Gregory Fitzpatrick, Re