Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Peter D.F. James, M.D. andKirsti James, Claimants vs. KO Securities, Inc, and Steven R. Ferris, Respondents. Case Number: 98-00877 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES Claimants, Peter D.F. James, M.D. and Kirsti James, hereinafter referred to as "Claimants": Carl H. Hagens, Esq., Hagens & Berman, P.S., Seattle, Washington Respondent, KO Securities,

AWARD NASP REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Amin A. Mohammed and Yasmin G. Mohammed, JTW/ROS v. Name of Respondent Smith Barney, Inc., Michael Cunningham, Gregory F. Laetsch, James Dimon, and Linda R. S chaffer Arbitration No. 98-00868 For Claimants: For Respondents: REPRESENTATION Amin A. Mohammed No Appearance Pacific Palisades, California Mary E. Reisert, Es

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bay Park Medical Pension Trust, (Claimant) vs. Thomas Wagner, G.F. Tate & Company, Marcus Rodriguez, Robert Hanney, QAM, and Bull & Rear Securities, Inc. (Respondents) Case Number: 98-00859 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Bay Park Medical Pension Trust, hereinafter referred to as "Claimant", appeared pro se through its trustee, Arnold Berli

AWARD NASD Regulation, Inc. In the Matter of Arbitration Between Haseen Akhtar, Claimant, and No. 98-00858 E* Trade Securities, Inc. Respondent. REPRESENTATION OF PARTIES Claimant, Haseen Akhtar, ("Claimant"), represented himself. Respondent, E* Trade Securities, Inc. ("Respondent") was represented by Thomas Reichert, Esquire and Gary Loeb, Esquire of Bird, Marella, Boxer & Wolpert located in Los Angeles, California. CASE INFORMATION

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Thomas Wallick vs. CASE 98-00856 Name of Respondent Charles Schwab & Co., Inc. REPRESENTATION Claimant Thomas Wallick ("Claimant") appeared pro se. Respondent Charles Schwab & Co., Inc. ("Respondent") was represented by Rhonda Y. Jones, Esq., Charles Schwab & Co;, Inc., San Francisco, California CASE INFORMATION Claimant's Statement of Claim was fil

AWARD NASD Regulation, Inc. ____ In the Matter of the Arbitration Between John G. Kinnard and Company, Incorporated, Claimant and 98-00854 Dain Rauscher, Incorporated., f/k/a Dain Bosworth, Inc.; Mark Hengesteg, Lee Felicetta, Ron Click, Robb Belschner, Richard Clemmerson, Regan Rohl, and David Clausen, Respondents Ross Strehlow, and Byron Ellingson, Respondents and Counterclaimants and Julie Rohl. Respondent and Third Pa

"t TJUM. 1.1999~ 3= 15PM NO.969 P. 13 STIPULATED AWARD NASD Regulation, Inc. In. the Matter of tue Arbitration Between Name of Claimant Joseph G. Files 98-00851 Names of Respondents Duke & Co., Inc. Jason Konner Victor Ming Wang Jeffrey Steve Honigman William Rotholz James Rotnenberg Thomas M. Rensvold Charles T. Bennett REPRESENTATION For Claimant: James A, Rountree, Esq. of the law firm of Hudson, Ports & Bernst

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 00841 Charles Schwab & Co., Inc., claimant vs. Ping Chang Yung, respondent. ATTORNEYS: For claimant Charles Schwab & Co., Inc., appeared Linda A. Gallagher, Esq. - Chicago, IL. Respondent appeared Pro Se. - Flushing, NY. DATE FILED: 3/4/98 CASE SUMMARY: Claimant alleged debit balance. Claim Data Award Data Claim: $10,000.00 Award: $10,000.00 Interest: Requested . Interest: 8.75% from 9/14/98 to date of

STIPULATED AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Roger C. Pope 98-00832 Name of Respondents Stifel, Nicolaus & Co., Inc.; Joseph Baffoe; and Edward Baffoe REPRESENTATION For Claimant: Roger C. Pope ("Pope") was represented by Stuart R. Berkowitz, Esq., of Platke and Berkowitz, L.L.P., located in St. Louis, Missouri. For Respondents: Stifel, Nicolaus & Co., Inc. ("Stifel"), Joseph Baffoe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, ESC. CASE: 00-02937 Marko B. Bonilla and Denise F. Bonilla, JTWROS, Claimants vs. J.P. Gibbons & Co., Inc., Respondent. ATTORNEYS Claimants, Marko B. Bonilla and Denise F. Bonilla, JTWROS, ("Claimant"), appeared Pro Se., Norwalk, CA. Respondent, J.P. Gibbons & Co., Inc., ("Respondent"), did not respond to the Statement of Claim. DATE FILED: July 12, 2000 CASE SUMMARY: Claimants alleged t