Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Liberty Travel, Inc. and Go/Go Tours, Inc. Employees' Defined Benefit Plan As Restated, (Claimant) vs. Klein Maus & Shire, Inc., Maurice Arthur Gross, Jr. a/k/a Mike Gross, and Mohammad AH Khan, (Respondents) Case Number: 99-00610 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Liberty Travel, Inc. and Go/Go Tours, Inc. Employees' Defined Benefit Plan As

Award NASD Regulation, Inc. In the Matter of the Arbitration Between The J.B. Sutton Group, LLC. (Claimant) vs. Steven Arevaio (Respondent) Case Number: 99-00608 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, The J. B. Sutton Group, LLC ("Claimant"): Seth Rutman, Esq., in-house counsel, Syosset, New York. Respondent, Steven Arevaio ("Respondent"): Michael S. Finkelstein, Esq., Garden City, New York. CASE INFORMATION Sta

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, EVC. CASE: 99-00607 The J.B. Sutton Group, LLC claimant vs. Joseph Critelli, respondent. ATTORNEYS: For Claimant The J.B. Sutton Group, LLC, appeared Gregg R. Evangelist, Esq., Great Neck, New York. Respondent Joseph Critelli did not respond to the Statement of Claim. DATE FILED: 2/11/1999 CASE SUMMARY: Claimant alleged that it loaned Respondent $3,500.00 as an advance

1 NASD REGULATION An NASD Compoiy NASD Regulation, Inc. Office of Dispute Resolution 125 Braad Street' 36th Floor • New York. NY 10004-2193 " 212-858-4400 " Fax 212-858-4389 Satellite Office at: 1735 K Street * 4th Floor * NW 'Washington. DC 20006-1506 * 202-728-8958 ' Fax 202-728-6852 N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00599 Charles Schwab & Co., Inc., claimant vs. David V. Daniel,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Everen Securities, Inc. (Claimant) vs. Richard Lingren (Respondent). Case Number: 99-0598 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Everen Securities, Inc. ("Claimant"): Diane C. Fischer, Esq. and Ronald Kane: Kane & Fischer, LTD., Chicago, IL. Respondent, Richard Lingren ("Respondent): represented himself. CASE INFORMATION Statement of Claim filed on or

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-00596 Everen Securities, Inc., claimant vs. Jeffrey Harkness, respondent. ATTORNEYS: For Claimant Everen Securities, Inc., Diane C. Fischer, Esq., Goomberg Kane & Fischer, Ltd., Chicago, Illinois. Respondent Jeffrey Harkness, did not file a Statement of Answer in this matter. DATE FILED: 2/10/1999 CASE SUMMARY: Claimant maintained that on November 4, 1994,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00592 Katheryn Pooley Lachman, claimant vs. Brown & Company Securities Corp., respondent. ATTORNEYS: Claimant, Katheryn Pooley Lachman, appeared Pro Se., Belvedere, CA. Respondent, Brown & Company Securities Corp., appeared through its General Counsel, Barry S. Fischer, Esq., Boston, MA. DATE FILED: 2/10/99 CASE SUMMARY: Claimant alleged that respondent fa

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joseph E. Ridella and Linda Ridella v. OLDE Discount Corporation and Robert M. Dietrich Case Number: 99-591 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimants, Joseph E. Ridella and Linda Ridella, hereinafter collectively referred to as "Claimants": Laurence S. Schultz, Esq., Troy, Michigan. Respondents, OLDE Discount Corporation n/k/a H&R Block Financial

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Estate ol Marie Wise (Claimant) v. Michael W. Patterson, Andrew M. Ankrim and Eric L. Puffenberger (Respondents). Case Number: 00-03319 Hearing Site: Cleveland, Ohio. REPRESENTATION OF PARTIES Charles M. Murray, Esquire, of Murray and Murray Co., LPA, Sandusky, Ohio, represented Claimant, the Estate of Marie Wise ("Wise"). Earle R. Frost, Jr., Esquire, of Frost & Danch

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Diane Bickerstaff v. OLDE Discount Corporation and Benjamin G. Geller Case Number: 99-589 Hearing Site: Detroit Michigan REPRESENTATION OF PARTIES Claimant Diane Bickerstaff ("Bickerstaff), hereinafter referred to as "Claimant": Laurence S. Schultz of Driggers, Schultz & Herbst, located in Troy, Michigan. Respondents, OLDE Discount Corporation ("OLDE") and Benjamin