Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 99-00992 Joel Withrow Name of the Respondent Hearing Site: Houston, Texas Madison Capital Markets Corporation, Antonio Raimo, Robert F. Ryder, Jr., Lawrence A. Zelin, Michael Lee Metter, and Dalton Kent Securities Group, Inc. Claimant Joel Withrow hereinafter referred to as "Claimant": Reagan D. Pratt, Esq., Clements, O'Neil, Pierce & Ni

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Gateway Partners, LLC and Name of Respondent Keith Kozel Case Number 99-00987 REPRESENTATION OF PARTIES For Gateway Partners, LLC ("Claimant") appeared Andrew P. Weiss, Esq., a sole practioner, located in New York, New York. For Keith Kozel ("Respondent") appeared Ted Poretz, Esq., of the law firm Richards & O' Neil, LLP, located in New York, Ne

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Peter V. Christiansen, (Claimant) vs. Craig Moss and PaineWebber Inc., (Respondents) Case Number: 99-00982 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Peter V. Christiansen, hereinafter referred to as "Claimant", appeared pro se. Respondents, Craig Moss ("Moss") and PaineWebber Inc. ("PaineWebber"), hereinafter collectively referred to as "Respondents"

Award NASD Regulation. Inc. In the Matter of the Arbitration Between: Jerrold S. Parker, (Claimant) vs. Providential Securities. Inc., Andrew Shoemaker, and The Manhattan Group (Respondents) Case Number: 99-00977 Hearing Site; New York, NY REPRESENTATION OF PARTIES Claimant, Jerrold S. Parker, hereinafter referred to as "Claimant" appeared pro se. Respondent, Providential Securities. Inc. ("Providential") did not enter an appearance in this matter.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Sujit Kumar, ("Claimant") vs. Renaissance Financial Securities Corp., Mitchell Van Doff, Adam Cohen, and Schroder Wertheim & Co., Inc., ("Respondents") Case Number: 99-00974 Hearing Site: Boston, MA REPRESENTATION OF PARTIES Claimant Sujit Kumar, hereinafter referred to as "Claimant": Miles E. Hoisington, Esq., sole practitioner, Westport, MA. Respondent Schroder Wertheim & Co., I

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: David I. Oppenheim, ("Claimant") vs. Salomon Smith Barney, Inc., Paul J. Stubbs, and Christopher Dietz, ("Respondents") Case Number: 99-00972 Hearing Site: Boston, MA REPRESENTATION OF PARTIES Claimant, David I. Oppenheim, hereinafter referred to as "Claimant": Conway T. Dodge, Esq., Rubin and Rudman LLP, Boston, MA. Respondents, Salomon Smith Barney, Inc. ("Smith Barney"), Paul J

N.A.S.D, REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-00970 Dean Witter Reynolds, Inc., claimant vs. Brian Mercer, respondent. ATTORNEYS: For Claimant, Dean Witter Reynolds, Inc., appeared Diane C. Fischer, Esq. and Michael A. Kraft, Esq. of the firm Gomberg Kane & Fischer, LTD., Chicago, IL. Respondent, Brian Mercer, appeared Pro Se., Lexington, KY. DATE FILED: 03/04/99 CASE SUMMARY: Claimant alleged breach

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOJUTION CASE: 99-00969 Everen Securities, Inc.,, claimant vs. Frank Mithun, respondent. ATTORNEYS: For Claimant appeared Stephen S. Berkeley, Esq., of the firm Gomberg Kane & Fischer, Ltd., Chicago, IL. .,. , Respondent did not respond to the Statement of Claim. DATE FILED: March 4, 1S999 CASE SUMMARY: Claimant alleged that respondent, upon termination of his employment, failed to repay the balance o

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00968 Everen Securities, Inc., claimant vs. William David Wooldridge, Jr., respondent. ATTORNEYS: For Claimant Everen Securities, Inc. ("Claimant"), Diane C. Fischer, Esq., Goomberg, Kane & Fischer, LTD, Chicago, Illinois. Respondent William David Wooldridge ("Respondent"), did not respond to the Statement of Answer. DATE FILED: 03/04/99 CASE SUMMARY

Stipulated Award NASD Dispute Resolution Jnc. In the Matter of the Arbitration Between: Michael G. Gasservs. OLDE Discount Corporation, Gus Panos and Paul Manelis Case Number: 99-967 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant Michael G. Gasser("Gasser") was represented by Laurence S. Schultz, Esq. of Driggers, Schultz & Herbst, located in Troy, Michigan. Respondents, OLDE Discount Corporation ("OLDE"), Gus Panos ("Panos") and Pau