N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01577 Luis Ceuedese and Ana Ceuedese, claimants vs. Pasquale Guadagno and M.S. Farrell & Co., Inc., respondents. ATTORNEYS: Claimants, Luis Ceuedese and Ana Ceuedese ("Claimants"), appeared Pro Se., Brooklyn, NY. For Respondent, M.S. Farrell & Co. Inc. ("M.S. Farrell"), Isaac M. Zucker, Esq. of M.S, Farrell & Co. Inc., New York, NY. For Respondent, Pasqual

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-01576 Henry A. Uhl, claimant vs. Joe Williams, respondent. ATTORNEYS: Claimant, Henry Uhl, ("Claimant"), appeared Pro Se., Calhoun, GA. Respondent, Joe Williams, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: April 5, 1999 " CASE SUMMARY: Claimant alleged that due to Respondent's negligence and omission of facts, he was not informed about account related mar

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01575 James R. Andreoni, claimant vs. Everen Securities, Inc. & Shamus Schubert, respondents. ATTORNEYS: Claimant, James R. Andreoni ("Claimant"), appeared Pro Se., Rockford, IL. For Respondents Everen Securities, Inc. & Shamus Schubert (Collectively "Respondents"), Bruce Lewitas, Esq. of First Union Securities, Inc. DATE FILED: April 5, 1999 CASE SUMMARY

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Leerink Swann & Company, Claimant vs. Paul Sheldon, Respondent Case Number: 99-01570 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Leerink Swann & Company, hereinafter referred to as "Claimant": Susan Drogin, Esq., Applegate, Valauskas, Rosen & Bernstein, Boston, Massachusetts Respondent, Paul Sheldon, hereinafter referred to as "Respondent": Paul Boy

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between DU Direct, Inc., n/k/a CFSB Direct, Inc. and 00-03456 Southfield, Michigan Martin C. Nwosu Blessing B. Nwosu REPRESENTATION OF PARTIES DLJ Direct, Inc., n/k/a CFSB Direct, Inc. ("Claimant") was represented by Caroline K. Hall, Esq., and Matthew D. Parrott, Esq., Rosenman & Colin, LLP. Respondent Martin C. Nwosu did not appear. Respondent Blessing B. Nwosu did no

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Olde Discount Corporation, (Claimant) vs. Nicholas Gatanas, (Respondent) Case Number: 99-01568 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Olde Discount Corporation, hereinafter referred to as "Claimant": Michael P. Knittel, Esq., Staff Attorney, Olde Discount Corporation, Detroit, MI. Respondent, Nicholas Gatanas, hereinafter referred to as "Responden

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bradley Conn, (Claimant) vs. Gaines, Berland, Inc. and Mark Gussin, (Respondents) Case Number: 99-01567 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Bradley Cohn, hereinafter referred to as "Claimant": David E. Robbins, Esq., Kaufmann, Feiner, Yamin, Gildin & Robbins LLP, NY. Respondent, Gaines, Berland, Inc. ("Gaines"): Martin H. Kaplan, Esq., Gusrae,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: George Bialecki, Jr., (Claimant) vs. Patterson Travis, Inc., Judah L. Wernick, Adam Pekale, and Glen W. Dautrick Case Number: 99-01552 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant George Bialecki, Jr. ("Bialecki"): Otto K. Hilbert, IL, Esq., Reinhart, Boerner, Van Deuren Denver, Colorado. Respondent Patterson Travis, Inc. ("Patterson Travis")' Calvin J. Domen

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Cleveland Walcutt and Cleveland Walcutt TTEE U/A DTD 9/22/93, by Cleveland Walcutt, jointly and severally, Claimants Case Number: 99-1551 vs. Hearing Site: Detroit, Michigan John Bruzzese, Fred Plan, and David Mellio, jointly and severally, Respondents. REPRESENTATION OF PARTIES Claimants, Cleveland Walcutt and Cleveland Walcutt TTEE U/A DTD 9/22/93, by Cleveland Walcu

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01548 Karoly Szasz, claimant vs. Scottsdale Securities, Inc., respondent. ATTORNEYS: Claimant Karoly Szasz ("Claimant"), appeared Pro Se., Wooster, OH. For Respondent Scottsdale Securities, Inc. ("Respondent"), Mark Finnegan, Compliance Manager, Scottsdale Securities, Inc., St. Louis, MO. DATE FILED: April 1, 1999 CASE SUMMARY: Claimant alleged that due to