Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: May Davis Group Inc., (Claimant) vs. J. Christopher Botero, (Respondent) Case Number: 99-01016 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, May Davis Group Inc., hereinafter referred to as "Claimant": Adam L. Goldberg, Esq., General Counsel, May Davis Group Inc., New York, NY. Respondent, J. Chistopher Botero, hereinafter referred to as "Respondent", di

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01012 Ram S. Bhatia and Kamlesh R. Bhatia Tic, claimants vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimants, Ram S. Bhatia and Kamlesh R. Bhatia Tic appeared Pro Se, Downingtown, PA For Respondent appeared, Robert J. McGahan, Esq. of the firm Bird, Marella, Boxer & Wolpert Los Angeles, CA DATE FILED: 03/05/99 CASE SUMMARY: Claimant alleged fail

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between ^ nf Claimants Bharat Das Agarwal, individually and Trustee of "the B.D. Agarwal, MD, Inc. Profit Sharing Plan and Trust and Agarwal Family Ltd. Partnership Case No. 99-01010 Olde Discount Corporation John K. Koczara Ernest J. Olde, Jr. Stanley A. Snider Daniel D. Katzman Hearing .Site: Washington, DC PFPRFSFNTATTON OF PARTTFS Claimants, Bharat Das A

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: LESLIE R. MEYER v. OLDE DISCOUNT CORPORATION AND RENEE D. MARONE Case Number: 99-01007 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Claimant, Leslie R. Meyer ("Meyer"), hereinafter referred to as "Claimant": Laurence S. Schultz, Esq., Driggers, Schultz & Herbst, Troy, Michigan Respondents, OLDE Discount Corporation ("OLDE") n/k/a H&R Block Financial

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jeff Stalvey, Claimant v. W. J. Gallagher & Co. Inc., William Joseph Gallagher, Lewis Akmakjian, and Brian Harry Money, Respondents Case Number: 99-01006 Hearing Site: Los Angeles, California For Claimant: For Respondents W. J. Gallagher & Co., Inc. and William Joseph Gallagher: For Respondent Lewis Akmakjian: For Respondent Brian Harry Money: Steve A. Buchwalter, Esq.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants RJ.K. Family Limited Partnership #1 and Richard Karam Case No. 99-01002 Names of Respondents Ferris, Baker Watts, Inc., H. Beck, Inc. and Ryan Lee & Co., Inc. REPRESENTATION OF PARTIES For Claimants R.J.K. Family Limited Partnership #1 ("R.J.K.") and Richard Karam ("Karam"), (hereinafter collectively referred to as "Claimants"): John G. Brown II, Esq.,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Cornerstone Securities Corp., (Claimant) vs. Russell Grigsby, David Randall Burch, David George Jamail, Kevin Burke (Respondents) Kevin Burke (Cross Claimant) vs. Case Number: 99-01000 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Cornerstone Securities Corp. ("Claimant"): were represented by Tom Thomas, Esq. and Marc Gulp, Esq.: Thomas & Gulp, L.L.P., Da

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: U.S. Pacific Financial Services, Inc., Claimant v. Margaret Hwang, Respondent. Case Number: 99-00999 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Robert S. Altagen, Esq. Law Office of Robert S. Altagen, PC Monterey Park, California For Respondent: Margaret Hwang ProSe Temple City, California CASE INFORMATION Statement of Claim f

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James R. & Cynthia Moriarty, Moriarty Litigation Group, Moriarty Education Trust & Moriarty Family Investment Partnership , LTD., (Claimants) vs. Edwin A. Allseitz Jr., Southwest securities, Inc., and SWS Financial, Inc., (Respondents). Case Number: Hearing Site: 99-00996 Houston, TX REPRESENTATION OF PARTIES James R. Moriarty, Cynthia Moriarty, Moriarty Litigation Group,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mark Schneider, Claimant vs. Charles Schwab & Co., Inc., Respondent. Case Number: 00-03373 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Thomas D. Mauriello, Esq. San Rafael, California For Respondent: Steve Murphy, Esq. Charles Schwab & Co., Inc. San Francisco, California CASE INFORMATION Statement of Claim filed on or about