Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Gary C, Wykidal, Claimant v. First Liberty Investment Group, Inc., and Richard Towt, Respondents Case Number: 99-01141 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Gary C. Wykidal, Esq. Gary C. Wykidal & Associates Costa Mesa, California For Respondents First Liberty Investment Group, Inc. and Nicholas J. Guiliano, Esq. Richard Towt Law

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Michael Winer and Kim Winer, individually and as Trustees of The Arizona Spine Care Alliance, P.C, Profit Sharing Plan and Trust and 99-01139 Scottsdale, Arizona Name of Respondents Simmons & Bishop Co., Inc. Jerry Herbert Shulak REPRESENTATION OF PARTIES Michael Winer and Kim Winer, individually and as Trustees of The Arizona Spine Care Alliance,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Ronald Vincent Glauser, Jr., Esq. Case No. 99-01138 Name of Respondents Southwest Securities, Inc.; Kevin Lee Coffey; Jerry Emory Anderson; Investors Trading Corp., d/b/a Oxford Financial Group; and Catherine Woody REPRESENTATION OF PARTIES Claimant Ronald Vincent Glauser, Jr., Esq., of Houston, Texas, hereinafter referred to as Claimant", appea

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles Schwab & Co., Inc., Claimant v. Sarah S. Guindy, Respondent and related Counterclaim Case Number: 99-01136 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimant: Richard A. Karoly, Esq. Charles Schwab & Co., Inc. San Francisco, California For Respondent: Marvin L. Szymkowicz, Esq. Mendelsohn & Szymkowicz Washington, D. C. CASE INFOR

AWARD NASP Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Michael V. Martin and 00-03406 Phoenix, Arizona Name of Respondents A.G. Edwards & Sons, Inc. Karen Davenport QF Michael V. Martin ("Claimant") was represented by George R. Brown, Esq., Whitehall, Linden, Grynkewich & Halladay, P.C., Tucson, Arizona. A.G. Edwards & Sons, Inc. ("Respondent A.G. Edwards") and Karen Davenport ("Respondent D

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kuldeep Bhargava and Meenkshi Bhargava, (Claimants) vs. Oppenheimer & Co., Inc. and Mark B. Lavi, (Respondents) Case Number: 99-01135 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Kuldeep Bhargava ("K. Bhargava") and Meenkshi Bhargava ("M. Bhargava"), hereinafter collectively referred to as "Claimants": Erasmo S. Bruno, Esq. and Gregory M. LoScisa,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: #99-01132 Bernadette B. Hill; Miriam Hill and Bernadette Hill; Elizabeth Hill and Bernadette Hill; Robert Hill and Bernadette Hill; David Hill and Bernadette Hill; and Katherine Hill and Bernadette Hill, claimants vs. Olde Discount Corporation, respondent. ATTORNEYS: For Claimants, appeared Robert W. Hill, Esq., University Heights, OH. For Respondent, Olde Discou

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01130 Brenda L. Kelley, claimant vs. Smith Barney Inc., and Shearson Lehman Hutton, respondents. ATTORNEYS: Claimant Brenda L. Kelley ("Claimant"), appeared Pro Se., Jarreau, LA. For Respondents Smith Barney Inc., and Shearson Lehman Hutton ("collectively "Respondents"), Ann Parry, First Vice President and Associate General Counsel to Smith Barney, Inc., New Y

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Fortress Financial Group, Ltd., Claimant v. Sun Cut Floral Network, Inc., Respondent. Case Number: 99-01122 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Simon S. Kogan, Esq. Kogan & Taubman New York, New York For Respondent: Frank Marra Sun Cut Floral Network, Inc. Los Angeles, California CASE INFORMATION Statement of Cla

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Phil Peralta, Claimant v. Morgan Stanley Dean Witter, Inc. and Don Gray, Respondents. Case Number: 99-01120 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondents: Morgan Stanley Dean Witter, Inc. and Don Gray Philip Peralta In Pro Per Tustin, California Janet T. Epstein, Esq. Morgan Stanley Dean Witter, Inc. San F