AWARD NASD Regulation, Inc. A MAY 1 0 1999 In the Matter of the Arbitration Between Name of Claimant Charles Schwab & Co., Inc. and Name of Respondent Karl Cosner 98-03880 REPRESENTATION OF PARTIES Charles Schwab & Co., Inc. ("Claimant") was represented by Richard A. Karoly, Esq., of Charles Schwab & Company, Inc., San Francisco, California. Karl Cosner ("Respondent") was not represented by counsel, and failed to respond

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Alan H. Shaw Case No. 98-03878 Names of Respondents J. C. Bradford & Co. Darren J. Schiff In the Matter of the Arbitration Between Name of Claimant Foot and Leg Clinic Profit Sharing Plan Names of Respondents J.C. Bradford & Co. Darren J. Schiff Consolidated with Case No. 99-1369 REPRESENTATION OF PARTIES For Alan H. Shaw ("Shaw"

Award f •' NASD Regulation, Inc. „ " In the Matter of the Arbitration Between Name of Claimant Louis V. Albini, Jr. Case No. 98-03873 Names of Respondents Charles Schwab & Company, Inc. Sandy Winick Olde Monmouth Stock Transfer Third-Party Respondent Millenia Corporation, Inc. REPRESENTATION OF PARTIES Claimant Louis V. Albini, Jr. appeared pro 'S&'(^'-' ' For Kespfttaftht Cliarles Schwab & Company.? Inc.* (^Schwab"): Amir Tadjed

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Leonard Wayne, Claimant v. PaineWebber, Inc., Don Dalis and W. Eric Gleason, Respondents. Case Number: 98-03872 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Leonard Wayne In Pro Per Huntington Beach, California For Respondents PaineWebber, Inc. and W. Eric Gleason: Gregory E. Copeland, Esq. PaineWebber, Inc. Los Angeles, California

AWARD NASD Regulation, Inc. CASE: 98-03868 A.G. Edwards & Sons, Inc., claimant vs. Maureen Paterson, respondent. ATTORNEYS: For Claimant appeared Phyllis A. Hartrich, Esq. - St. Louis, MO. Respondent did not respond to the Statement of Claim. DATE FILED: October 19, 1998 CASE SUMMARY: Claimant alleged Respondent had insufficient funds in her account to cover the amount drawn and has refused to pay the resulting debit balance. Claim Data Clai

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Marilyn R. Athan, Individually and as Trustee of the Peter Athan and Marilyn R, Athan Revocable Living Trust Agreement Case No. 98-03865 Names of Respondents CIBC Oppenheimer Corp. Steven M. Gibson REPRESENTATION OF PARTIES For Claimant: Stephen D. Spivey, Esq., Law Offices of Stephen D. Spivey, Ocala, FloridaJ For Respondents CIBC Oppenheimer Corp.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Augustine Fund, L.P, (Claimant) vs. Joseph Charles & Associates, Inc. and Laurence Alpert (Respondents) Case Number: 98-03863 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Augustine Fund, L.P. ("Augustine Fund"): Thomas P. Krebs, Esq., Foley& Lardner, Chicago, Illinois Respondent Joseph Charles & Associates, Inc. ("Joseph Charles"): Laura Arnoff, Esq., Leg

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03243 Tony Albano, claimant vs. Seibt Financial Services, Hans P. Seibt and Vernon E. Barnum, respondents. ATTORNEYS: Claimant appeared Pro Se, Las Vegas, NY. Respondents appeared through Hans P. Seibt, President, Las Vegas, NV. DATE FILED: July 31, 2000. CASE SUMMARY: Claimant alleged that respondents improperly executed the sale of a certificate without verifying its worth, c

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dean Witter Reynolds, Inc., Claimant v. Debra Stowers, Respondent and related Counter-Claim Debra Stowers, Third-Party Claimant v. Thomas G. Taliaferro, Third-Party Respondent Case Number: 98-03862 Hearing Site: Los Angeles, California REPRESENT ATIONOF PARTIES For Claimant Dean Witter Reynolds, Inc. and Third-Party Respondent Thomas G, Taliaferro: ForRespondent/Counter-Cl

N A S.D. REGULATION AWARD SOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: #98-359 Paul G. Bouhez, claimant vs. respondents. Meyers Pollock Robbins, Inc. and Seth Avery Cohen, ATTORNED Claimant, M G, Bouchez, appeared Pro Se., Palos Heights, IL. Respondei Meyers Pollock Robbins, Inc., did not enter an appearance in this matter. For Resident, Seth Avery Cohen, appeared Michael G. Shannon, Esq. of the firm Wallace, ' Fodian & Shannon, P. A.,