Award NASD Regulation, Inc. In the Matter of the Arbitration Between: David Waldman, (Claimant) vs. Cantor Fitzgerald & Co., (Respondent) Case Number: 98-02593 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, David Waldman, hereinafter referred to as "Claimant": Mitchell R. Schrange, Esq., Mitchell R. Schrange & Associates, PLLC, New York, NY. Respondent, Cantor Fitzgerald & Co., hereinafter referred to as "Respondent": Michael A. Lamp

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Robert J. Vertalka, Claimant, v. No. 98-02587 Olde Discount Corporation, and Robert Twenter, Respondents. REPRESENTATION OF PARTIES Claimant Robert J. Vertalka ("Claimant") was represented by David M. Platt, Esq. of Farhat & Story, P.C. located in East Lansing, Michigan. Respondents Olde Discount Corporation and Robert Twenter ("Respondents") were represented by Lis

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: PaineWebber, Inc. (Claimant) vs. William J. O'Brien (Respondent) Case Number: 98-02586 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant PaineWebber, Inc. ("PaineWebber'): Gregory E. Copeland, Esq., PaineWebber, Inc. Legal Department, Los Angeles, California. Respondent William J. O'Brien ("O'Brien") appeared pro $e. CASE INFORMATION Statement of Claim filed o

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03148 Billy J. Hall, Sr. claimant vs. Ameritrade, respondent. ATTORNEYS: Claimant appeared Pro Se, Livingston, TX. For Respondents appeared Regulatory Counsel, James J. Vihstadt, Bellevue, NE. DATE FILED: My 25, 2000 CASE SUMMARY: Claimant alleged that the Respondent failed to sell 1000 shares of Pfizer as requested before he transferred his account to a new broker. Claim Data

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Clifford Branch, Claimant v. First Union Securities, Inc. (formerly EVEREN Securities), Robert K. Bather and Alfred P. Griffith, Jr., Respondents Case Number: 00-00340 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Richard A. Kutche, Esq. San Jose, California For Respondents: Philip A. McLeod, Esq. Keesal, Young & Logan San Francisc

Award NASD Dispute Resolution, Inc. Li the Matter of the Arbitration Between Names of Claimants Stephen J. Hatton IRA SEP Stephen J. Hatton and Marjorie I. Hatton Case No. 98-02585 Names of Respondents Bear, Stearns & Co., Inc. Darryl E. Smith REPRESENTATION OF PARTIES For Stephen J. Hatton IRA SEP ("IRA") and Stephen J. Hatton and Marjorie I. Hatton ("the Hattons"), hereinafter collectively referred to as "Claimants": William T. Kirtley

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Charles Schwab & Co., Inc., (Claimant) vs. Mark Miller, (Respondent). Case Number: 98-02582 Hearing Site: Seattle, Washington. REPRESENTATION OF PARTIES Claimant, Charles Schwab & Co., Inc., hereinafter referred to as "Claimant": Robert J. Bocko, Esq., Keesal, Young & Logan, Seattle, Washington. Respondent, Mark Miller, hereinafter referred to as "Respondent": Jack G. Orr, Esq., Law

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Viren R. Patel FBO Sonal Patel, (Claimant) vs. Olde Discount Corporation, (Respondent). Case Number: 98-02581 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Viren R. Patel FBO Sonal Patel, hereinafter referred to as "Claimant": Viren R. Patel, Houston, Texas. Respondent, Olde Discount Corporation, hereinafter referred to as "Respondent": Donald Wray, Esq., Ol

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Piper Jaffray, Inc. n/k/a U.S. Bancorp Piper Jaffray Inc. and 98-02580 Minneapolis, Minnesota Name of Respondents Dain Rauscher, Inc. Michael Rosenzweig REPRESENTATION OF PARTIES Piper Jafrray, Inc. n/k/a U.S. Bancorp Piper Jaffray Inc. ("Claimant") was represented by Vincent D. Louwagie, Esq. and Judi A, Lamble, Esq., Fruth & Anthony, P.A., Minneapolis

AWARD NASD Regulation, Inc In the matter of the Arbitration Between Name of Claimantfs) Molly A. Sellman Arbitration No. 98-02578 Name of Respondent(s) Kirlin Securities, Inc. Joel Thomas Slack REPRESENTATION For Claimant: Robert E. Rosenthal, Esq., Bohnen, Rosenthal & Dusenbury, Monterey, California For Respondent Kirlin Securities, Inc.: Patrice Vellecca and Randolph Bartholme, Kirlin Securities, Inc., Syosset, New York For