Award NASD Dispute Resolution In the Matter of the Arbitration Between: Beverly Blanos and Beverly Blanos IRA (Claimants) v. Matthew Zimmerman, Gibraltar Securities, Inc., Kirlin Securities, Inc., and Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. (Respondents) Case Number: 00-03416 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimants Beverly Blanos

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: William Allen Moss v. E*Trade Case Number: 99-1309 Hearing Site: Omaha, Nebraska REPRESENTATION OF PARTIES Claimant, William Allen Moss ("Moss"), hereinafter referred to as "Claimant": Gail E. Boliver, Esq., Boliver Law Firm, Marshalltown, Iowa. Respondent, E*Trade, hereinafter referred to as "Respondent": Paul S. Chan, Esq., Bird, Marella, Boxer & Wolpert, Los Angeles, Califo

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01306 Bertram Molow Revocable Trust, claimant vs. Jerome C. Kelter, respondent. ATTORNEYS: Claimant Bertram Molow Revocable Trust appeared through its trustee, Bertrum Molow, West Palm Beach, Florida. Respondent Jerome C. Kelter appeared Pro Se, West Palm Beach, Florida. DATE FILED: 03/15/1999 CASE SUMMARY: Claimant alleged Respondent did not provide sound

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01304 Everen Securities, Inc. claimant vs. James J. Engel, respondent. ATTORNEYS: For Claimant Everen Securities, appeared Diane C. Fischer, Esq., of the firm, Gomberg Kane & Fischer, Ltd., Chicago, IL. Respondent James J. Engel did not respond to the Statement of Claim. DATE FILED: 3/18/1999 CASE SUMMARY: Claimant alleged that on March 22, 1993 Respondent

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: William W, McCutcheru III, (Claimant) vs. The Madrid Group. Inc., Frank Madrid, David Laurent, and Fleet Clearing Corporation, (Respondents) Case Number: 99-01295 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, William W, McCutchen, III, hereinafter referred to as "Claimant": Nicholas Stevens, Esq., Starr, Gern T Davison & Rubin, P.C., Roseland, NJ

Award NASD Regulation, Inc. In the Matter of the ArDitratiorTBetween Stephen J. Courtney (Claimant) v. PaineWebber, Inc. and Brian T. McKee (Respondents) Case Number 99-01294 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Stephen J. Courtney ("Claimant"): James P. Donohue, Jr., Esq., Gilbride, Tusa, Last & Spellane LLC, New York, New York, Respondent, PaineWebber, Inc. ("PaineWebber"): Andrew J. Melnick, Esq., PaineWebber, Inc.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: J. Michael Bristow, (Claimant) vs. Huntleigh Securities Corporation, (Respondent). Case Number: 99-01293 Hearing Site: St. Louis. Missouri REPRESENTATION OF PARTIES Claimant, J. Michael Bristow, hereinafter referred to as "Claimant": Maurice B. Graham, Esq., The Graham Law Firm, St. Louis, Missouri. Respondent, Huntleigh Securities Corporation, hereinafter referred to as "Resp

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Joseph Lopresto, individually and as Trustee for the Lopresto Family Trust UAD 11/26/91 Case No. 99-01289 Names of Respondents Baxter BanJcs & Smith, Ltd. Kevin J- ggiero :: L , Francis i ,:tin McDermott REPRESENTATION OF PARTIES For Claimants: David A. Weintraub, Esq. of David A. Weintraub, P.A., Ft. Lauderdale, FL. For Respondents Ba

A war a NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Estate of Astrid Mattsson Case No. 99-01286 Names of Respondents The Robinson-Humphrey Company, Inc. William S. Royall, Jr. REPRESENTATION OF PARTIES For the Estate of Astrid Mattsson, hereinafter referred to as "Claimant": Robert V. DeMarco, Esq. of the law offices of Robert V. DeMarco, P.A., Charleston, South Carolina, and J. Kirkland Grant,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Carol Worth Case No. 99-01284 Names of Respondents The Equitable Life Assurance Society of the United States Equico Securities, Inc. n/k/a EQ Financial Consultants, Inc. REPRESENTATION OF PARTIES For Claimant: William S. Isenberg, Esq. of Latona & Isenberg, Ft. Lauderdale, FL. For Respondents: Richard J. DeMarco, Esq. of The Equitable Life Assurance