Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Michael J. Crowley (Claimant) vs. Ameritrade, Inc., (Respondent). Case Number: 99-00438 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Michael J. Crowiey ("Crowley") appeared pro se. Respondent Ameritrade, Inc. ("Ameritrade"): James J. Vihstadt, Esq., Ameritrade, Inc. Legal Department: Bellevue, .Nebraska. CASE INFORMATION Statement of Claim filed on or abo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jack W. and Carla B. Satterfield, Claimant v. Sands Brothers & Co., Ltd., Respondent Case No. 00-03300 Hearing Location: Tampa, Florida REPRESENTATION OF PARTIES For Jack W. and Carla B. Satterfield, hereinafter referred to as "Claimant": Guy M. Burns, Esq. and Bruce W. Barnes, Esq., Johnson, Blakely, Pope, Bokor, Ruppel & Burns, P.A., Tampa, Florida. For Sands Brothers & Co.,

f , Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Marvin L. Maddox, (Claimant) vs. Dain Rauscher Incorporated and J. Everett Airington (Respondents). Case Number: 99-00433 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Marvin Maddox ("Claimant"): Donald M. Feferman, Esq., Feferman & Rehler, L.L.P. , Dallas, Texas. Respondents, Dain Raucher Incorporated ("Dain Raucher") and J. Everett Airington ("Airin

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: CCST Inc. Money Purchase Pension Plan; Charles I. Kornguth and Todd Kornguth TTEEs, Claimant v. Waterhouse Securities, Inc., Respondent. Case Number: 99-00431 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Robert B. Hutchinson, Esq. Hutchinson & Snider Beverly Hills, California For Respondent: Michael J. Abbott, Esq. and John L. Erikson, Jr.,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Reinhard Hecht Case No. 99-00430 Names of Respondents GKN Securities Corp. Kerry L. Hoffman Matthew B. Schechner REPRESENTATION OF PARTIES For Reinhard Hecht ("Hecht"), hereinafter referred to as "Claimant": Alan C. Kauffman, Esq. of Alan C. Kauffman & Associates, P.A., Boca Raton, Florida. For GKN Securities Corp. ("GKN"), Kerry L. Hoffman ("Hoffma

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Estelle M. Zack Case No. 99-00425 Names of Respondents Thomas K. Wasserman Thos. K. Wasserman & Associates, Inc. Richard T. Saiter John B. Saiter REPRESENTATION OF PARTIES For Claimant Estelle M. Zack hereinafter referred to as "Claimant": Kalju Nekvasil, Esq. of Goodman & Nekvasil, P.A., Clearwater, Florida. For Respondents Thomas K. Wasserman

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Fred and Lorraine Jackson, (Claimants) vs. May Davis Group, Inc., Owen A. May, Joseph Crescenzi, Jr., and Kevin L. Maldonado, (Respondents) Case Number: 99-00422 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Fred Jackson ("F. Jackson") and Lorraine Jackson ("L. Jackson"), hereinafter collectively referred to as "Claimants": Steven B. Caruso, Esq., Maddox, Koell

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Joe E. Holle, Claimant v. Richmond Hillcrest & Co., Inc. and Allan B. Wasserman, Respondents. Case Number: 99-00418 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant Joe E. Holle: Denise E. Jones, Esq. Georggin & Shann & Associates San Diego, California For Respondents Richmond Hillcrest & Co., Inc. Dena L. Murphy, Esq. and Allan B. Wasserman: Keesal,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Chin-Lien Lai and Lee Huang, Claimants v. Bluestone Securities, Inc. and Martin Fang, Respondents. Case Number: 99-00415 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Chin-Lien Lai and Lee Huang In Pro Per San Gabriel, California For Respondent Bluestone Securities, Inc.: Arthur Quintero Bluestone Securities, Inc. El Monte, California

AWARD NASD Regulation, Inc. CASE: 99-00413 Sol Friedman, claimant vs. Waterhouse Securities, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se. - Milpitas, CA. For Respondent appeared in-house counsel, Janis Campanella, Esq. - New York, NY. DATE FILED: January 28, 1999 CASE SUMMARY: Claimant alleged respondent, without warning, sold his shares of ETEC Systems Inc. stock one day earlier than margin call, creating a debit balance in his account.