Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tullett & Tokyo Liberty Securities, Inc., (Claimant) vs. Credit Research & Trading, LLC, (Respondent) Case Number: 00-03417 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Tullett & Tokyo Liberty Securities, Inc., hereinafter referred to as "Claimant": Jeffrey Plotkin, Esq., Eiseman Levine Lehrhaupt & Kakbyiannis, New York, NY. Respondent, Credit Resea

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01328 Laird Eastman, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant Laird Eastman ("Claimant"), appeared Pro Se., Santa Cruz, California. For Respondent E*Trade Securities, Inc ("Respondent"), Bob Salvador, Senior Compliance Analyst, E*Trade Securities, Inc., Palo Alto, California. DATE FILED: 03/19/1999 CASE SUMMARY: Claimant alleg

Award NASD Dispute Resolution In the Matter of the Arbitration Between: MK Link Investments Limited Partnership and Levine Investments, LP (Claimants) v. WSW Capital, Inc.; Wood, Struthers & Winthrop Management Corp.; Donaldson, Lufkin & Jenrette Securities Corporation; and CSAM Capital, Inc., as successor to WSW Capital, Inc. (Respondents) Case Number: 99-01327 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Non-Members

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: William J. Guthlein, (Claimant) vs. Quick & Reilly, (Respondent) Case Number: 99-01326 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, William J. Guthlein, hereinafter referred to as "Claimant" appeared pro se. Respondent, Quick & Reilly, hereinafter referred to as "Respondent": Douglas S. Flaherty, Quick and Reilly, Inc., New York, NY. CASE INFORMATION

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant The Christie Group Case No. 99-01325 Name of Respondents S.G. Cowen Securities Corp. Lawrence Cohen Anthony DePalma Ronald Flipowitz Thomas Schwartz Robert Benjamin consolidated with Case No. 99-04762 Name of Claimant GKN Securities Corp. (n/k/a Southeast Research Partners, Inc.) Name of Respondents Sean Boyle, d/b/a The Christie Gro

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Randall Sears and Cathy Sears Case No. 99-01322 Names of Respondents Brad Nirenberg Jack Skidell Paul Brusca D.L. Cromwell Investments, Inc. Strategic Resource Management, Inc. REPRESENTATION OF PARTIES For Randall Sears and Cathy Sears ("Claimants"): Stephen D. Spivey, Esq. of the Law Offices of Stephen D. Spivey, Esq., Ocala, Florida. Fo

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Ken Paul and Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Jack Becker 99-01319 Denver, Colorado REPRESENTATION OF PARTIES Ken Paul ("Claimant") appeared pro se. Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent MLPF & S") and Jack Becker ("Respondent Becker") were represented by William J. Manning, Jr., Esq., Merrill Ly

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Everen Securities, Inc., n/k/a First Union Securities, (Claimant) vs. Brett Matossian, (Respondent). Case Number: 99-01318 REPRESENTATION OF PARTIES Everen Securities, Inc., n/k/a First Union Securities hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Gomberg, Kane & Fischer, Chicago, Illinois, Brett W. Matossian hereinafter referred to as "Respondent": Katherine Hen

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Edward and Aida Reyes Case No. 99-01317 Names of Respondents Investors Street, Inc. Javier Saenz REPRESENTATION OF PARTIES Claimants Edward and Aida Reyes, hereinafter referred to as "Claimants" appeared pro se. For Respondents Investors Street, Inc. ("Investors Street") and Javier Saenz ("Saenz"): Jonathan E. Perlman, Esq. of Genovese Lichtman Joblov

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Charles W. Zimmermann and Betty W. Zimmermann, both individually and as Trustees of the Zimmermann Family Trust dated December 2, 1991, Claimants vs. Prudential Securities Incorporated and Mark Sloan, Respondents, Case Number: 99-01315 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimants, Charles W. Zimmermann and Betty W. Zimmermann, both individually and as