Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Hector P. and Catherine Milanes Case No. 99-01238 ~ Name of Respondents A.G. Edwards & Sons, Inc. Brian J. McCafferty Mario Ferrari HEARING LOCATION: PHILADELPHIA, PA REPRESENTATION OF PARTIES Claimants, Hector P. and Catherine Milanes, hereinafter collectively referred to as ("Claimants"): G. Alexander Novak, Esq. and Kim Steven Juhase, Es

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01237 Todd W. and Carolyn P. Bayer, claimants vs. Charles Schwab & Co., Inc., respondent. ATTORNEYS: Claimants Todd W. and Carolyn P. Bayer appeared Pro Se., Moreland Hills, OH. Respondent appeared through in-house counsel, Sean B. Meehan, Esq., San Francisco, CA. DATE FILED: 03/16/99 CASE SUMMARY: Claimant alleged failure to execute a sell order for shares of

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Novin Katherine Golshani, Claimant v. E*Trade Securities, Inc., Respondent Case Number: 00-03412 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: J. William Nosel, Esq. Law Offices of J. William Nosel Los Angeles, California For Respondent: Mark T. Drooks, Esq. Ekwan E. Rhow, Esq. Bird. Marella, Boxer & Wolpert Los Angeles, Californ

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Barry Weiss, TTEE The Barry Weiss M.D. Profit Sharing Plan and 99-01236 Phoenix, Arizona Name of Respondents Sutro & Co., Incorporated Sidney Meyers REPRESENTATION OF PARTIES Barry Weiss, TTEE The Barry Weiss M.D. Profit Sharing Plan ("Claimant") was represented by Michael H. Moss, Esq., Park Ridge, Illinois. Sutro & Co., Incorporated ("Respondent S

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01234 Ronnie Yarborough IRA, claimant vs. Discover Brokerage Direct, Inc., respondent. ATTORNEYS: Claimant, Ronnie Yarborough, appeared Pro Se., Mabolvali, AR. Respondent, Discover Brokerage Direct, Inc., appeared through its In-House Counsel, Judith M. Rosenberg, Esq., San Francisco, CA, DATE FILED: 03/16/99 CASE SUMMARY: Claimant alleged that on November

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Gwendolyn Hardy Williams Revocable Trust Oliver Williams Family Trust Atlas Family Partnership d/b/a Investment Company Case No. 99-01225 Names of Respondents Mclaughlin, Piven, Vogel Securities, Inc. James Kennedy REPRESENTATION OF PARTIES For Gwendolyn Hardy Williams Revocable Trust, Oliver Williams Family Trust and Atlas Family Partners

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01222 Frank J. Briscoe, III, claimant vs. DLJdirect, Inc. and Sherwood Securities, respondents. ATTORNEYS: Claimant Frank J. Briscoe, III ("Claimant") appeared Pro Se., Bethel, Connecticut. For Respondent DLJdirect, Inc. ("DLJdirect"), Donald J. Campbell, Esq., Senior Vice President and Associate General Counsel, DLJdirect, Jersey City, New Jersey. For Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Kuletsky and John Arpa Sr. (Claimants) v. Alden Capital Markets, Harvey M. Bloch, Carey Cimino, and William Burke (Respondents) Case Number: 99-01221 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member, Associated Persons and Non-Member REPRESENTATION OF PARTIES Claimants Michael Kuletsky ("Kuletsky") and John Arpa Sr. ("Arpa"), hereinafter collective

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01220 The Estate of Sarah M. Holdsworth, claimant vs. Merrill Lynch Pierce Fenner & Smith, Inc. and Jim Goff, respondents. ATTORNEYS: Claimant appeared through one it's Executors, Sally A. Rogers, who appeared Pro Se., Ocean City, NJ. For Respondents, Merrill Lynch Pierce Fenner & Smith and Jim Goff, appeared General Counsel of Merrill Lynch Pierce Fenner

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI^ttS REGULATION. INC. CASE: 99-01219 Paula Styliades and Katherine Sty Hades, claimants vs. Dan Luther and Schneider Securities, Inc., respondents. ATTORNEYS. Claimant Paula Styliades and Katherine Styliades ("Claimants"), appeared Pro Se., Rochester, New York. Respondent Dan Luther ("Luther"), did not respond to the Statement of Claim. Respondent Schneider Securities, Inc. ("Schneider