Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Frank Arnold, Claimant vs. Peter Restivo, Parker Bromley Ltd., Dain Rauscher, Inc., J.B. Oxford and Company, Inc., and GunnAllen Financial, Inc., Respondents. Case Number: 99-01157 Hearing Site: Louisville. Kentucky REPRESENTATION OF PARTIES Claimant, Frank Arnold, "Arnold", hereinafter referred to as "Claimant", represented himself. Respondent, Peter Restivo, "Restivo", repre

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Ramsey N. Nassour Case No. 99-01156 Names of Respondents Taylor Stuart Financial Michael C. Minotto Eric L. Monroe Irving S. Minnaker REPRESENTATION OF PARTIES For Ramsey N. Nassour hereinafter referred to as "Claimant": Timothy K. Reynolds, Esq. of the Brazee Law Firm, Lafayette, Louisiana. For Taylor Stuart Financial, Michael C. Minotto, Eric

NASD NASD Re 9 ulation ' |nc - Office of Dispute Resolution JUVTIPN 125 Broad Street" 36th Floor * New York. An NASD Compaiy Satellite Office at 1735 K Street " 41h Floor * NW * Washington, DC 20006-1506 * 202-728-8958 * Fax 202-728-6952 Office of Dispute Resolution REGULATION 125 Broad Street'36th Floor* New York. NY 10004-2193 '212-859-4400 " Fax 212-358-4389 N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGU

NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: \ Donald and Ruth White, Claimant v. First Union Brokerage Services, Inc. n/k/a First Union Securities, Inc., Lance Kevin Wilson and James Robert Laughlin, Jr., Respondents Case Number: 00-3408 Hearing Site: Charlotte, North Carolina REPRESENTATION OF PARTIES For Claimant: John B. Veach III, Esq. Falls & Veach Asheville, North Carolina For Respondents: James A. Vollins, Esq.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Thomas J, Walsh, (Claimant) vs. L.T. Lawrence & Co., Inc., Shamus Group, Inc. and John Daniel Connolly, (Respondents) Case Number: 99-01151 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Thomas J. Walsh, hereinafter referred to as "Claimant", appeared pro se. Respondents L.T. Lawrence & Co., Inc. ("Lawrence") and Shamus Group, Inc. ("Shamus"), did not

Award NASD Regulation. Inc. In the Matter of the Arbitration Between Barbara Carpe (Claimant) vs. Jerome Rubin, Alan P. Halpert and Matthew Halpert (Respondents) Case Number: 99-01150 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Barbara Carpe, hereinafter referred to as "Claimant": Morgan W. Bentley, Esq., Newark, New Jersey. Respondent, Jerome Rubin, hereinafter referred to as "Respondent Rubin": Anthony Padunno, Esq., S

*. 4 NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-01149 Calvin Wasdyke and Agnes Wasdyke, Claimants vs. Olde Discount Corp., Ernest Olde, Stanley A. Snider, and Daniel D. Katzman, Respondents. ATTORNEYS: Claimants appeared Pro Se., Cincinnati, OH. Respondent Olde Discount Corp. appeared through Kathleen A. Dedenbach, Esq., Detroit, MI. Respondent Stanley A. Snider appeared through Rebecca B. Hilberman, Esq., of the firm

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01148 Joseph Aubry, claimant vs. Ameritrade, respondent. ATTORNEYS: Claimant Joseph Aubry appeared Pro Se,, Glassboro, New Jersey. Respondent Ameritrade, Inc., appeared through its Vice President, James Ricketts and Senior Regulatory Manager, James J. Vihstadt, Bellevue, Nebraska. DATE FILED: 3/11/1999 CASE SUMMARY: Claimant alleged that Respondent failed

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Alex C. Philibert, II Name of Respondents Prudential Securities, Inc. Harry C. Hannigan NASD Case No. 99-01147 Hearing Location: Philadelphia, PA REPRESENTATION OF PARTIES Claimant Alex C. Philibert, II ("Claimant"): Debra G. Speyer, Esq., Attorney at Law, Philadelphia, Pennsylvania. Respondents Prudential Securities, Inc. and Harry C. Hannigan ("Re

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Howard A. Fredricks and Florence E. Fredricks, Claimants v. Don S. McNeil!, Respondent Case Number: 99-01144 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Karen Novorr, Esq. Law Office of Karen Novorr Corona, California For Respondent: Don S. McNeill In Pro Per Bellflower, California CASE INFORMATION Statement of Claim filed: March