Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Mali Mirmesdagh Case No. 99-00675 Names of Respondents Olde Discount Corporation Timothy Brown REPRESENTATION OF PARTIES For Claimant Mali Miimesdagh hereinafter referred to as "Claimant": J. Pat Sadler, Esq. and Eric Hovdesven, Esq. of the law firm of Sadler & Associates, P.C., Atlanta, Georgia. For Respondents Olde Discount Corporation ("Olde") and Ti

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jan Poort, (Claimant) vs. West America Securities Corp., Robert B. Kay, Gregory R. Myers, and Charles J. Newman, (Respondents) Case Number: 99-00665 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant Jan Poort, hereinafter referred to as "Claimant": Howard M. Rosenfield, Esq., a sole practitioner, Avon, CT. Respondents West America Securities Corp. ("We

1 N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00664 Charles Schwab & Co., Inc., claimant vs. Douglas M. Ingersoll, respondent. ATTORNEYS: For Claimant, Charles Schwab & Co., Inc., appeared Linda A. Gallagher, Esq. and Stephen S. Berkley, Esq., of the firm Gomberg Kane & Fischer, Ltd., Chicago, IL. Respondent, Douglas M. Ingersoll, appeared Pro Se., Tampa, FL. DATE FILED: 02/16/99 CASE SUMMARY: C

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00663 Terra Nova Trading, LLC, claimant vs. Yap Fei En, respondent. ATTORNEYS: Claimant Terra Nova Trading, LLC ("Claimant") appeared through Steven P. Gomberg, Esq. and Linda A. Gallagher, Esq. of the firm Gomberg Kane & Fischer, Ltd., Chicago, IL. Respondent Yap Fei En ("Respondent") did not respond to the Statement of Claim in this matter. DATE FILED: 02/16

AWARD NASD Regulation, Inc. CASE: 99-00662 Charles Schwab & Company, Inc., claimant vs. Mike Miller, respondent. ATTORNEYS: For Claimant appeared Linda A. Gallagher Esq. and, Steven Berkeley, Esq., of the firm, Gomberg, Kane & Fischer, Ltd., Chicago, IL, Respondent Mike Miller did not respond to the Statement of Claim. DATE FILED: 2/16/1999 CASE SUMMARY: Claimant alleged that an erroneous credit was posted to respondent's account. Claimant furth

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-00660 Anthony F. Vivona, claimant vs. Fechtor, Detwiler & Co., Inc. and David Dellorso, respondents. ATTORNEYS: Claimant Anthony F. Vivona appeared Pro Se., Brooklyn, New York. For Respondent Fechtor Detwiler & Company, appeared in-house counsel, Stephen Z. Frank, Esq., Boston Massachusetts. Respondent David Dellorso appeared Pro Se., New York, New York.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Reid Breitman, Claimant v. E*Trade Secunues. Inc., Respondent Case Number: 00-03324 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Jonathan Schwartz, Esq. Law Offices of Jonathan Schwartz Marina Del Rey, California For Respondent: Mark T. Brooks, Esq. Bird, Marella, Boxer & Wolpert Los Angeles, California CASE INFORMATION Stat

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Thomas Sherck and Tami White, Claimants vs. Lissa Searfoss and Royal Alliance Associates, Inc., Respondents. Consolidated Case Numbers: 99-00645 & 99-00686 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimants, Thomas Sherck ("Sherck") and Tami White ("White"), hereinafter collectively referred to as "Claimants": Linda Stoick, Esq., San Francisco, California

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Steven A. Kalin and Janice Kalin and 99-00644 Name of Respondents First Asset Management, Inc. Anthony James Ustica Leonard A. Neuhaus Phillip O. Gullo REPRESENTATION OF PARTIES Steven A. Kalin and Janice Kalin ("Claimant") was represented by Floyd E. Siefferman, Jr., Esq., Saliterman & Siefferman, P.C., Minneapolis, Minnesota. First Asset Mana

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Jack Modzelewski and Susan Kiner and 99-00641 Chicago, Illinois Name of Respondents PaineWebber, Inc. Terry Lee Phillips REPRESENTATION OF PARTIES Jack Modzelewski and Susan Kiner ("Claimants") were represented by Stuart R. Berkowitz, Esq., Platke and Berkowitz, L.L.P., St. Louis, Missouri. PaineWebber, Inc. ("Respondent PaineWebber") a