Award NASD Regulation, Inc. In the Matter of the Arbitration Between: JOHN J, EGAN and COLLEEN D. EGAN, JTWROS, EGAN BUILDERS, INC., JOHN J. EGAN IRA/SEP, COLLEEN EGAN c/f SHEILA M. EGAN UGMA, COLLEEN EGAN c/f CONNOR J. EGAN UGMA, and COLLEEN EGAN c/f KRISTIN A. EGAN UGMA, Claimants vs. BEAR STEARNS & COMPANY and WILLIAM S. WATROUS Respondents CaseJNumber: 99-01396 Hearing Site: Chicago, Illinois REPRESENTATION OF PAR

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Subir K, and Suniti Bhattacharya Case'No. 99-01394 Name of Respondent E*Trade Securities, Incorporated REPRESENTATION OF PARTIES Claimants appeared pro se. For Respondent E*Trade Securities, Incorporated: John M. McKoy, III, Esq. of Bird, Marella, Boxer & Wolpert, Los Angeles, CA. CASE INFORMATION Statement of Claim filed on or about March 23, 1999

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Eric Adickes, Claimant v. Cruttenden Roth, Inc., Respondent Case Number: 99-01383 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Darren S. Enenstein, Esq. Enenstein, Russell & Saltz, L.L.P. Van Nuys, California For Respondents: Paul I. Hamada, Esq. Keesal, Young and Logan Long Beach, California CASE INFORMATION Statement of Claim

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Samantha Haimes Case No. 99-01379 Names of Respondents Advest, Inc. James Bernhard Gould Mary Elizabeth Ahlquist REPRESENTATION OF PARTIES For Claimant: Robert H. Rex, Esq. of Dickenson, Murdoch, Rex and Sloan, Boca Raton, FL. For Respondents Advest, Inc. ("Advest"), James Bernhard Gould ("Gould"), and Mary Elizabeth Ahlquist ("Ah

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Michael P. Gallo, Claimant vs. North Coast Securities Corporation and James W. Fuller, Respondents. Case Number: 99-01376 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Michael P. Gallo, hereinafter referred to as "Claimant": Frank P. Sarro, Esq., San Francisco, California Respondents, North Coast Securities Corporation ("NCSC") and James W. Fuller ("F

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Stephen and Amy Gionis Case No. 99-01371 Name of Respondent Robert W. Baird & Co. Incorporated REPRESENTATION OF PARTIES For Stephen and Amy Gionis, hereinafter collectively referred to as "Claimants": John F MacLerman, Esq. and Jon L. Swergold, Esq. of Smith Hulsey & Busey, Jacksonville, FL: For Robert W. Baird & Co. Incorporated, hereinafter ref

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Legacy Securities Corp. Case No. 99-01370 Name of Respondent Clear Communications Group, Inc. REPRESENTATION OF PARTIES For Claimant Legacy Securities Corp. ("Legacy"), hereinafter referred to as "Claimant": Michael J. King, Esq. and Robert E. Spears, Jr., Esq. of the law firm of Minkin & Snyder, P.C., Atlanta, Georgia. For Respondent Clear Communicatio

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Weiss, Peck & Greer, L.L.C., (Claimant) vs. Sherwood Securities Corp., (Respondent) Case Number: 99-01368 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Weiss, Peck & Greer, L.L.C., hereinafter referred to as "Claimant": David B. Tulchin, Esq., Sullivan & Cromwell, New York, NY. Previously represented by: Robert M. Abrahams, Esq., Schulte Roth & Zabel LLP,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Southwest Securities Inc. Claimant, Vs. Weber Investment Corporation and Garry A, Weber Respondents. Case Number: 00-03428 Hearing Site: Dallas. Texas REPRESENTATION OF PARTIES Claimant, Southwest Securities Inc. ("Southwest"): Peter D. Wolfson, Esq. and Arthur H. Ruegger, Esq. of the firm Pryor Cashman Sherman & Flynn LLP, New York, New York. Respondents,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Fidelity Brokerage Services, Inc. Claimant vs. Jeffrey Lane Michaels and Leslie Jean Michaels, Respondents. Case Number: 00-00356 Hearing Site: Via Teleconference REPRESENTATION OF PARTIES Claimant, Fidelity Brokerage Services, Inc. (hereinafter referred to as "Claimant": Laurence K. Richmond, Esq., Laurence K. Richmond & Associates, P.C., Greenleaf Building, 1419 Hanock S