Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Claimant Case Number: 99-02547 John Maunsell Respondent Hearing Site: Chicago, IlHnois ABN AMRO Securities, Inc. consolidated with Claimant Case Number: 99-02548 David A. Denton Respondent Hearing Site: Chicago, Illinois ABN AMRO Securities, Inc. REPRESENTATION OF PARTIES Claimants, John Maunsell ("Maunsell") and David A. Denton ("Denton"), hereinafter co

Award NASD Dispute Resolution, Inc. - In the Matter of the Arbitration Between Name of Claimant Legg Mason Wood Walker, Inc. vs. Name of Respondent Todd M. Schoenberger Case Number 99-02033 (Master case consolidated with case number 99-02083) In the Matter of the Arbitration Between Name of Claimant Todd M. Schoenberger vs. Name of Respondent Legg Mason Wood Walker, Inc. Case Number 99-02083 REPRESENTATION OF PARTIE

• , J ' AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Salomon Smith Barney, Inc. and Name of Respondent Michael G. Willis Name of Claimant Michael G. Willis and Name of Respondent Salomon Smith Barney, Inc. 99-02108 (cons with 99-02127) 99-02127 (cons with 99-02108) REPRESKNTATTON OF PARTIES Salomon Smith Barney, Inc. ("Claimant") was represented by Brent Rychener, Esq. and Richar

Stipulated Award NASD Dispute Resolution In the Matter of tjie Arbitration Between: Tri-County Distributors, Inc. Profit Sharing Plan, Hubert W. Salomonson as Trustee (Claimant) V. Gaines Berlan(^ Inc., Michael Chakos, and Douglas Costabile (Respondents) and Tii-County Distrjbutors, Inc. Profit Sharing Plan, Hugh Salomonson and Stephen Salomonson, as Trustees (Claimant) v. Gaines Berland, Inc., Michael Chakos, and Douglas Costabile (Respondents) Case

Award NASD Dispute Resolution, Inc. In the Matter of the Consolidated Case entitled "Becker Consolidated Cases" Consolidated Case Number 99-01705: Robert Stanley Becker and Soon Fa Wu, Claimants v. Go Trading, Inc., Service Asset Management Co. d/b/a Penson Financial, Adnan A. Mirza, Lori Sue Piken, Grace F. Schroeder, Steven A. Owsley, Adtech Financial Corporation, Steven Kane, and Jane Watkins, Respondents Hearing Site: Los Angeles, California Robert St

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Paine Webber, Inc. Claimant v. Russell J. Bjerke, Respondent Case Number: 02-03786 Hearing Site: Portland, Oregan REPRESENTATION OF PARTIES For Claimant UBS Paine Webber Inc.: Debbie Gottlieb, Esq. Davidson Manchel & Brennan Northvale,, New Jersey For Respondent Russell J. Bjerke: Russell J. Bjerke In Pro Se Ashland, Oregan CASE INFORMATION Statement of C

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Gifford John Hurley v. 02-03783 Denver, Colorado Respondents TCAdvisors Network, Inc., Stephen A. Finn and Kathryn Dominick Nature of Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Gifford John Hurley ("Claimant") was represented by Phil Bledsoe, Esq., of Shughart Thomson & Kilroy, P.C., Denver, Colorado. TCAdvisors Netwo

Award NASD Regulation, Inc. In the Matter qfthe Arbitration Between: Manud C. and Lucille Pragana (Gahnants) vs. USLife Equi^ Sdes Corp, Gary Ferone. Fhst Hanover Securities, Inc. (nka LCP Capitd Corp.), Sdvatore A. Martorano (Respondents); and USLife Equity Sdes Corp. (Cross-Gaimant) vs. First Hanover Securities, Inc. (nka LCP Capitd Cotp.) and Sdvatore A. Manorano (Cross-Resp< Hidents) Case Number: 964)1316 MASTER CASE Hearing Site: New York, New York C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: , nf fhft PlfljfTiftr^r^pfre-ppspnTifleflrt P^gf NllTnrfrfT 02-03779 U.S. Bancorp Piper Jaffray, Inc. Name of thp ppgpnnHp^^/Pn^ptp^-^^iTp^Tit/ Rearing Sit?' Dallas, Texas Terry D.Woodard Name n f Third ~P fitly Respondent Elise C. Tanner O Member Firm v. Public Customer v. Associated Person Claimant/Counter-Respondent U.S. Bancorp Piper Jaffray, Inc. ("Piper Jaf

Award NASD Regulation, Inc. In the Matter cfthe Arbitration Between: Manud C. and Lucille Pragana (Gahnants) vs. USLife Equi^ Sdes Corp, Gary Ferone. First Hanover Securities, Inc. (nka LCP Capital Corp.), Sdvatore A. Martorano (Respondents); and USLife Equity Sdes Corp. (Cross-Gaimant) vs. First Hanover Securities, Inc. (nka LCP Capital Corp.) and Sdvatore A. Martorano (Cross-Resp< Hidents) Case Number: 964)1316 MASTER CASE Hearing Site: New York, New York