N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00772 Joseph O. Udeh, claimant vs. Charles Schwab & Co., Inc., respondent. ATTORNEYS: Claimant Joseph O. Udeh appeared Pro Se., San Jose, California. For Respondent Charles Schwab & Co., Inc., appeared in-house counsel, Sean B. Meehan, Esq., San Francisco, California. DATE FILED: 2/22/1999 CASE SUMMARY: Claimant alleged that he incurred losses as a result

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-00771 A. A. Friedman., claimant vs. Quick and Reilly, Inc., respondent. ATTORNEYS: For Claimant appeared Todd M. Sloan, Esq. of Law Offices of Todd M. Sloan, Malibu, CA. Respondent appeared through its Vice President, Douglas S. Flaherty, Esq. DATE FILED: 02/22/99 CASE SUMMARY: Claimant alleged respondent wrongfully disseminated information that claimant's

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Richard Sugarman, (Claimant) vs. Salomon Smith Barney Inc., (Respondent) Case Number: 99-00769 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Richard Sugarman ("Sugarman"), hereinafter referred to as "Claimant": Robert A. Harris, Esq., Zeldes, Needle & Cooper, Bridgeport, CT. Respondent, Salomon Smith Barney Inc. ("Salomon"), hereinafter referred to as "Re

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Robert and Laura Coleman Joseph R. Fox Case No. 99-00768 Name of Respondents Klein, Maus & Shire, Inc. Mohammed A. Khan Asim S. Kohli Martin Berk (a/k/a Martin Burke) Naseeruddin Mahmood David M. Weeks REPRESENTATION OF PARTIES Claimants, Robert Coleman ("R. Coleman"), Laura Coleman ("L. Coleman") and Joseph R. Fox ("Fox"), here

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants') TLC Precision Wafer Technology, Inc. and Timothy Childs and 99-00762 Minneapolis, Minnesota Name of Respondents Sterling Foster & Company, Inc. Adam Lieberman Michael R. MacCaull REPRESENTATION OF PARTIES TLC Precision Wafer Technology, Inc. and Timothy Childs ("Claimants") were represented by David P. Pearson, Esq., Winthrop & Weinstine,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Carl Jansen, (Claimant) v. A.S. Goldmen & Company, Inc., Anthony J. Marchiano, Salvatore C. Marchiano, Stuart E. Winkler, Michael A. Dietz, and Everen Clearing Corp. a/k/a BNY Clearing, (Respondents) Case Number: 99-00760 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Carl Jansen ("Jansen"): Leslie A. Blau, Esq. and Mitchell Goldberg, Esq., Blau & B

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-00758 Donaldson, Lufldn & Jenrette Securities Corporation, claimant vs. Marvin Flynn, respondent. ATTORNEYS: For Claimant Donalsdon, Lufkin & Jenrette Securities Corporation, ("Claimant") David Herschberg, Esq. of Wexler & Burkhart, P.C., Mitchel Field, NY. Respondent, Marvin Flynn ("Respondent") did not respond to the Statement of Claim. DATE FILED: February

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00755 John P. Hyland and Kristin Hyland, claimants vs. American Express Financial Direct (a/k/a American Express Financial Advisors), respondent. ATTORNEYS; For Claimants John P. Hyland and Kristin Hyland ("Claimants"), appeared Vincent Leo, III, Esq., of the Law Offices of Theodore J. Leo, Bloomfield, New Jersey. For Respondent American Express Financial Advi

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00753 Fidelity Brokerage Services, Inc., claimant vs. Byron C. Glenn and Amirah D. Glenn, respondents. ATTORNEYS: For Claimant Fidelity Brokerage Services, Inc., appeared Laurence K. Richmond, Esq., of the firm, Laurence K. Richmond & Associates, Quincy, MA. Respondents Byron and Amirah Glenn did not respond to the Statement of Claim. DATE FILED: 2/19/1999

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00752 Fidelity Brokerage Services, Inc., claimant vs. Michael A. Tomaselli, respondent. ATTORNEYS: For Claimant Fidelity Brokerage Services, Inc. ("Claimant"), Laurence K. Richmond, Esq., Laurence K. Richmond & Associates, Quincy, Massachusetts. Respondent Michael A. Tomaselli ("Respondent"), did not respond to the Statement of Claim. DATE FILED: 2/19/1999