Award NASD Regulation, lac. In the Matter of the Arbitration Between Name of Clamant Joseph C/Paul vs. Case No, 99-00125 Namejjf Respondent Prudential Securities, Inc. REPRESENTATION OF PARTIES Claimant Joseph C. Paul ("Claimant") was represented fay John E. MacDonald, Esq- of the law finn Stark & Stark, P.C., Lawrencevffle, NJ. ' • . . . , ' " ".." . Respondent Prudential Securities Incorporated {"Respondent*

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Claimants William E. and Isabel D. Austin vs. 99-00120 Respondent Olde Discount Corporation REPRESENTATION OF PARTIES Claimants, William E. and Isabel D. Austin, hereinafter referred to as "Claimants": James E. Prendergast, Esq., Davis Bennett Barr & Spiess, Wayne, Pennsylvania Respondent Olde Discount Corporation, hereinafter referred to as "Respondent": Donald Wray,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Christy L. Sailer, (Claimant) vs. Olde Discount Corporation, (Respondent and Third-party Claimant) and Jeff Ohe (Respondent and Third-party Claimant) v. Jason Sailer Herbert (Third Party Respondent). Case Number: Hearing Site: 99-00119 Houston, Texas REPRESENTATION OF PARTIES Claimant, Christy L. Sailer ("Sailer"), hereinafter referred to as "Claimant": Annette M. Henr

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Everen Securities, Inc. n/k/a First Union Securities, Inc. and 99-00117 Name of Respondent Mikyung Oh REPRESENTATION OF PARTIES Everen Securities, Inc., n/k/a First Union Securities, Inc. ("Claimant") was represented by Ronald P. Kane, Esq., Gomberg Kane & Fischer, Ltd., Chicago, Illinois. Mikyung Oh ("Respondent") appeared pro se. CASE INFORMATION

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Alan B. Flandreau, Trustee f/b/o Cox Heating & Air Conditioning, Inc. Profit Sharing Trust, UTD 5/15/70 and Alan B. Flandreau, Trustee f/b/o Cox Heating & Air Conditioning, Inc. Pension Plan & Trust, UTD 5/5/70 Case No. 99-00107 Names of Respondents Salomon Smith Barney Inc. Harvey P. Rose REPRESENTATION OF PARTIES For Claimants: Jeffrey P. Co

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lorenz M. and Victoria Hofmann, Claimant v. Gregg Adams and Robert William Lisnoff, Jr., Respondents Case Number: 00-3260 Hearing Site: Raleigh, North Carolina REPRESENTATION OF PARTIES Lorenz M. and Victoria Hofmann ("Claimant") Gregg Adams ("Adams") and Robert William Lisnoff, Jr. ("Lisnoff") pro se pro se Michael Osborne, Esq. Stark & Stark, P.C.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Stephen Wong and Melinda Wong, Claimants vs. E*Trade Securities, Inc., Respondent. Case Number: 99-00104 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimants, Stephen Wong and Melinda Wong, (hereinafter collectively referred to as "Claimants"): In Pro Per, 3052 Hillside Drive, Burlingame, CA 94010. Respondent, E*Trade Securities, Inc., "E*Trade, (hereinafter referred to

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00100 The Burkhardt Trust, claimant vs. Capital International Securities Group, respondent. ATTORNEYS: For Claimant The Burkhardt Trust ("Claimant"), Brett J. Saddler, Huntington Beach, California. For Respondent Capital International Securities Group ("Respondent"), David A. Pearl, Esq., Lucio, Mandler, Bronstein, Garbett, Stiphany & Martinez, P.A., Miami, Florid

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Norman Steinberg (Claimant) vs. First Providence Financial Group, Inc., Dan Savery, and Robert DePalo, (Respondents) Case Number: 99-00099 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Norman Steinberg, hereinafter referred to as "Claimant": Randy S. Zelin, Esq., Blodnick, Gordon, Blodnick & Zelin, Jericho, NY. Respondents, First Providence Financial Group, Inc. (

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles W. Hebel, IV, Claimant Vs. Salomon Smith Barney, Inc., PaineWebber, Inc., and Junius Verne Beaver, III, Respondents. Case Number: 99-00090 consolidated with 99-00092 Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES James P. McCrocklin, Esquire, Louisville, Kentucky, represented Claimant, Charles W. Hebel, IV ("Claimant"). Vic