Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Abraham Atkin, (Claimant) vs. Sam Wajner, (Respondent) Case Number: 99-00233 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Abraham Atkin, hereinafter referred to as "Claimant" appeared pro se. Respondent, Sam Wajner, hereinafter referred to as "Respondent": Scott D. Stechman, Esq., Lehman & Eilen, LLP, Uniondale, NY. CASE INFORMATION Statement of Claim filed o

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant WMA Securities, Inc. v. Name of Respondent Chyrell Christine Bryant Arbitration No. 99-00227 For Claimant: For Respondent REPRESENTATION Allegra J. Lawrence, Esq. Sutherland Asbill & Brennan LLP Atlanta, Georgia Richard Boyd Law Office of Richard Boyd Phoenix, Arizona Statement of Claim filed: CASE INFORMATION Claiman

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Amy Hwang, as attorney-in-fact for ShuYing Huang, Claimant v. U.S. Pacific Financial Services, Inc., Ching Liang (Charles) Wang, Ying Yun Lee, William Wei Li, Rosano Yan, Chin Yung Su, Jeffery Chun Chieh Lu, Roger Yuenfu Fan, Robert Steven Altagen, Shyuan Chu, and Chia Yu Teng, Respondents Case Number: 99-00218 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIE

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Richard Meyer, Claimant v. Waterhouse Securities, Inc., Andrew McDonald, and Kennedy, Cabot & Co. Inc. (now Calabasas Asset Holding Co. Inc.,) Respondents. Case Number: 99-00217 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Steve A. Buchwalter, Esq. Law Offices of Steve A. Buchwalter Encino, California For Respondents: Calabasas Asse

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dorothy Sarnecky, Claimant v. M.L. Stern & Co., Inc. n/k/a M.L. Stern & Co., LLC and Frank Perrotti, Respondents Case Number: 00-03272 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Arthur S. Leider Investors Arbitration Specialists Inc. San Diego, California For Respondents: James D. Portman, Esq. M.L. Stem & Co., LLC Beverly

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00351 • Fidelity Brokerage Services, Inc., claimant vs. James Dean Fraser, respondent. ATTORNEYS: For Claimant appeared Laurence K. Richmond, Esq., Quincy, MA. Respondent, James Dean Fraser, did not respond to the Statement of Claim. DATE FILED: January 27, 2000 CASE SUMMARY: Claimant alleged that respondent's account reflected a deficit which was due to purchases and sellouts of s

Stipulated Award NASD Dispute Resolution in the Matter ot the Arbitration between: Name of the Claimant Case Number: 99-00200 Dr. Andrew Hirschl Names of the Respondents Hearing Site: Boca Raton, Florida Stephen Roger Schwartz A.F. Best Securities, Inc. Julius Baer Securities, Inc. REPRESENTATION OF PARTIES For Dr. Andrew Hirschl ("Hirschl"), hereinafter referred to as "Claimant": Adam C. Hall, Esq., Hall, David and Joseph, P.A., Miami, Flor

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00199 Ira C. Nelson, Jr., claimant vs. Lombard Securities, Inc. and C. Curtis Fox, respondents. ATTORNEYS: Claimant, Ira C. Nelson, Jr. ("Nelson"), appeared Pro Se., Baltimore, MD. Respondent, C. Curtis Fox ("Fox"), appeared Pro Se., Baltimore, MD. Respondent, Lombard Securities, Inc. ("Lombard"), appeared through its Vice President, E.H. Price Green, Baltimor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cruttenden Roth, Inc., Claimant v. Mitchell Stewart and Nurit Retry, Respondents Case Number: 99-00196 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Dena Murphy, Esq. Keesai, Young & Logan Long Beach, CA For Respondents: No Appearance CASE INFORMATION Statement of Claim filed: January 11, 1999 Claimant's Uniform Submission Agreement si

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Arlene B. Isaacs, ("Claimant") vs. Smith Barney Shearson, Inc., Robert S. Matthews, and Theodore Tabasso, ("Respondents") Case Number: 99-00193 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Arlene B. Isaacs, hereinafter referred to as "Claimant" appeared pro se. Respondents, Smith Barney Shearson, Inc. ("Smith Barney"), Robert S. Matthews ("Matthews"), and Theodor