Award NASD Regulation, Inc. In the Matter of the Arbitration Between: First Montauk Securities Corp., (Claimant) vs. James Niedzwiecki, (Respondent) Case Number: 99-00558 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, First Montauk Securities Corp., hereinafter referred to as "Claimant": Lloyd S. Clareman, Esq., New York, NY. Respondent, James Niedzwiecki, hereinafter referred to as "Respondent" appeared pro se. CASE INFORMATION

Final Order NASD Dispute Resolution In the Matter of the Arbitration Between: First Montauk Securities Corp., (Claimant) vs. Jeff Zieger, (Respondent) Case Number: 99-00555 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, First Montauk Securities Corp., hereinafter referred to as "Claimant": Lloyd S. Oareman, Esq., a sole practitioner, New York, NY. Respondent, Jeff Zieger, hereinafter referred to as "Respondent", appeared pro se,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Judythe A. Janiak, Claimant v. Wells Fargo Securities, Inc. and Wells Fargo Bank, Respondents Case Number: 99-00553 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Matthew R. Rutherford, Esq. Law Offices of Matthew R. Rutherford San Diego, California For Respondent Wells Fargo Securities, Inc.: Robert T. Sullwold, Esq. Sullwold & Hughes Sa

AWARD NASD Regulation, Inc. CASE: 99-00552 Karen Kelly, IRA, claimant vs. Ameritrade, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se - Somerset, NJ. Respondent appeared through its Vice President, James A. Ricketts - Bellevue, NE. DATE FILED: February 8, 1999 CASE SUMMARY: Claimant alleged that after she had contacted a broker and placed an order for the purchase of Dell Computer stock, respondent acted improperly in executing her previous

Award NASD Regulation, Inc. In the Matter of the Arbitration Between; OTA Limited Partnership and Triage Capital Management, L.P., (Claimants) vs. CIBC Oppenheimer Corp., (Respondent) Case Number: 99-00551 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, OTA Limited Partnership and Triage Capital Management, L.P., hereinafter collectively referred to as "Claimants": Theodore Altman, Esq., Piper Marbury Rudnick & Wolfe, LLP, New

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Mark Podschelne and Alma Schroeder Case No. 99-00548 Names of Respondents Timothy G. Moyer Michael McDonald Richard C. Bowersock Southern Financial Group, Inc. REPRESENTATION OF PARTIES For Claimants Mark Podschelne ("Podschelne") and Alma Schroeder ("Schroeder"), hereinafter collectively referred to as "Claimants": Neal J. Blaher, Esq. of

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between First Union Securities, f/k/a Everen Securities, Inc. and 99-00544 Omaha, Nebraska Terrel L. Beckwith REPRESENTATION OF PARTIES First Union Securities, f/k/a Everen Securities, Inc. ("Claimant") was represented by Ronald Kane, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Terrel L. Beckwith a/k/a Terrell L. Beckwith ("Respondent") was represented by Gail Bolive

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Alan A. Gray v. Howe, Solomon & Hall, Inc., Christopher J. Hall, and Ronald Solomon Case Number: 99-00540 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Alan A. Gray, hereinafter referred to as "Claimant": appeared pro se, Great Neck, NY. Respondents Howe, Solomon & Hall, Inc. ("HSH"), Christopher J. Hall ("Hall"), and Ronald Solomon ("Solomon") herein

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03315 Charles Schwab & Co., Inc., Claimant vs. Brendan Murphy f/b/o Juliana Murphy, Respondent. ATTORNEYS: For Claimant appeared Stephen S. Berkeley, Esq., Kane & Fischer, Ltd, Chicago, IL. Respondent did not respond to the Statement of Claim. DATE FILED: August 3, 2000 CASE SUMMARY: Claimant alleged that Respondent failed to repay a debit balance which resulted from the purchases

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION INC. CASE: 00-00352 Fidelity Brokerage Services, Inc., claimant vs. D. C. Capital Group Holdings, Inc., respondent. ATTORNEYS: ™ " ~~ For Claimant, Fidelity Brokerage Services, Inc. ("Claimant"), appeared Laurence K. Richmond of Laurence K. Richmond & Associates, P.C. Quincy, MA. Respondent, D.C. Capital Group Holdings, Inc., ("Respondent"), did not respond to the Statement of Claim. DATE FILED