Award NASD Regulation, Inc. In the Matter of the Arbitration Between: GKN Securities, Inc., (Claimant) vs. Peter Zacek, (Respondent) Case Number: 99-00411 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, GKN Securities, Inc., hereinafter referred to as "Claimant": Kenneth O'Connor, Esq., Lubiner & Schmidt, Kenilworth, New Jersey. Respondent, Peter Zacek, hereinafter referred to as "Respondent" did not enter an appearance in this

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION* INC. CASE: 00-03291 Derek Ralph, Claimant vs. Scottrade, Inc., Respondent. ATTORNEYS: For Claimant, Derek Ralph ("Claimant"), appeared John W. Ewart, II, Esq., Pittsburgh, PA. Respondent, Scottrade, Inc. (Respondent"), appeared through its Director of Human Resources, Jane Wulf, St. Louis, MO. DATE FILED: August 2, 2000 CASE SUMMARY: Claimant alleged that Respondent breach their contractual agre

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Lisa M. DeFalco TPG Telemanagement, Inc. Name of Respondents Charles Schwab & Company, Inc. Richard Hepp Robert Lancaster Scott C. Jensen NASD Case No. 99-00408 Hearing Location: Philadelphia, PA REPRESENTATION OF PARTIES Claimants Lisa M. DeFalco and TPG Telemanagement, Inc. ("Claimants"): James F.X. Rudey, Esq., Fox, Rothchild, O'Brien &

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between Douglas Fowlie Gill (Claimant) vs. M.H. Meyerson & Co., Inc. and Craig J. Seligman (Respondents) Case Number: 99-00407 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Douglas Fowlie Gill ("Claimant") was not represented by counsel. Respondent, M. H. Meyerson & Co., Inc. ("Meyerson"): Allen M. Eisenberg, Esq., Heller & Horowitz & Fiet, P.C., New York,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Paine Webber, Inc., (Claimant) vs. Ziad R. Alameddine, (Respondent) Case Number: 99-00406 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, PaineWebber, Inc., hereinafter referred to as "Claimant": Sandra D. Grannum, Esq., Associate General Counsel, PaineWebber, Inc., Weehawken, NJ. Respondent, Ziad R. Alameddine, hereinafter referred to as "Respondent" appeared pro se.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: NatCity Investments, Inc., Claimant vs. Charles T. Mercer, Respondent. Case Number: 99-00402 Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES Claimant, NatCity Investments, Inc. hereinafter referred to as "Claimant" was represented by R. Gregg Hovious, Esq., of Tachau, Maddox, Hovious & Dickens PLC, Louisville, Kentucky. Respondent, Charles T. Mercer, hereinafter refer

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Craig Dirgo Case No. 99-00393 Name of Respondent Charles Schwab & Company, Inc. Name of Third Party Respondent Larry John Dirgo REPRESENTATION OF PARTIES For Claimant Craig Dirgo ("Dirgo"): John N. Buso, Esq. of John N. Buso, P.A., West Palm Beach, Florida. For Respondent Charles Schwab & Company, Inc. ("Charles Schwab"); Neil S. Baritz, Esq. of

\ NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-00392 George G. Hunt & Mary M. Hunt, claimants vs. Quick & Reilly, respondent. ATTORNEYS: Claimants George G. Hunt & Mary M. Hunt (collectively "Claimant") appeared Pro Se., Charlotte, NC. Respondent, Quick & Reilly ("Respondent"), appeared through its Vice President/Director of Arbitration Douglas S. Flaherty, New York, NY DATE FILED: January 27, 1999 CASE SUMMARY: Claim

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Wachovia Securities, Inc. f/k/a Interstate/Johnson Lane Corporation Case No. 99-00390 Name of Respondent Raymond James & Associates, Inc. REPRESENTATION OF PARTIES For Wachovia Securities, Inc. f/k/a Interstate/Johnson Lane Corporation ("Wachovia"), hereinafter referred to as Claimant: Terry R. Weiss, Esq. of the law firm of Long Aldridge & Norman LLP,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Thomas Paige Holloway and Dana Holloway Case No. 99-00387 Names of Respondents HJ. Meyers & Co., Inc. J. Bernard LoVerde, Jr. Richard Hodges REPRESENTATION OF PARTIES For Thomas Paige Holloway and Dana Holloway; (the "Holloways"), hereinafter collectively referred to as "Claimants": Simon S. Kogan, Esq. and Brian J. Neville, Esq. of Taubma