N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00634 Daniel S. Hoshiyama and Tom T. Hoshiyama, claimants vs. Olde Discount Corporation and Keith Campbell, respondents. ATTORNEYS: Claimants, Daniel S. Hoshiyama and Tom T. Hoshiyama, appeared Pro Se., San Francisco, CA. For Respondents, Olde Discount Corporation and Keith Campbell, appeared Donald P. Wray, Jr., Detroit, MI. DATE FILED: 02/12/99 CASE

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-00633 N. Tom Azhdam, claimant vs. Fidelity Brokerage Services, Inc., respondent. ATTORNEYS: Claimant N. Tom Azhdam, appeared Pro Se., Rockville, Maryland. Respondent Fidelity Brokerage Services, Inc., appeared through its Product Manager, Melissa Maloney, Boston, Massachusetts. DATE FILED: 02/12/1999 CASE SUMMARY: Claimant alleged that on December 1, 1998,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-00632 Joyce Tarnow, claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., respondent. ATTORNEYS: Claimant, Joyce Tarnow, appeared Pro Se., Pompano Beach, FL. For Respondent, Merrill Lynch, Pierce, Fermer & Smith, Inc , appeared in house counsel Michael E. Chasen, Esq., New York, NY. DATE FILED: 02/12/99 CASE SUMMARY: Claimant alleged high risk security

Award NASD Regulation, Inc, In the Matter of the Arbitration Between: Gino S. Vassalle (Claimant) vs. Tom O'Connor and William P. Larkman (Respondents). Case Number: 99-00621 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Gino S. Vassalle referred to as ("Claimant"}: Steele Williams, Esq., Groener, Schieb, & Williams, Sarasota, Florida. Respondents Tom O'Connor ("O'Connor") and William P. Larkman ("Larkman"): Curtis M. Jacobs, Es

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Greg and Dawn Dannette Seitz Seitz Management, Inc. Case No. 99-00619 Names of Respondents RAS Securities Corp. Edward P. Galvan REPRESENTATION OF PARTIES For Claimants Greg Seitz, Dawn Dannette Seitz and Seitz Management, Inc. hereinafter collectively referred to as "Claimants": J. Pat Sadler, Esq. of the law firm of Sadler & Associates, P.C., At

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bloomberg Tradebook LLC, (Claimant) vs. Piper Jaffray Inc., (Respondent) Case Number: 99-00615 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Bloomberg Tradebook LLC, hereinafter referred to as "Claimant": Richard L. Klein, Esq., Willkie Farr & Gallagher, New York, NY. Respondent Piper Jaffray Inc., hereinafter referred to as "Respondent": Frank A. Tay

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: William H. Doriss, (Claimant) vs. Leonard F. Lupoli, Richard Pignone, and A.G. Edwards & Sons, Inc., (Respondents) Case Number: 99-00614 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant William H. Doriss, hereinafter referred to as "Claimant" appeared pro se. Respondent Leonard F. Lupoli ("Lupoli"): Todd H. Lampert, Esq., Law Offices of Todd H. Lampert, New Cana

Award NASD Dispute Resolution. Inc. In the Matter of the Arbitration Between: Lester Lin, Claimant v. E*Trade .Securities. Inc.. Respondent Case Number: 00-03322 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant; Patrick McNamara, Esq. HI Dorado Hills, California For Respondent: likwan E Rhew, Esq. Bird, Maiclla, Boxer & Wolpcrt Los Angeles. California CASE INFORMATION Statement of Claim filed on or about Juh

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: The Equitable Life Assurance Society of the United States and EQ Financial Consultants, Inc. f/k/a Equico Securities, Inc., (Claimants) vs. Scott A. Gidley, (Respondent). Case Number: 99-00613 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimants, The Equitable Life Assurance Society of the United States and EQ Financial Consultants, Inc. f/k/a Equico Securities, Inc.,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Christian Mayaud, M.D., (Claimant) vs. Cowen & Company, Ronald Giickman, and Ondine McBurney, (Respondents) Case Number: 99-00612 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Christian Mayaud, M.D., hereinafter referred to as "Claimant": Alan Rafterman, Esq., and Jennifer M. Newcomb, Esq., Graubard, Mollen & Miller, New York, NY. Respondents, Cowen