N.A.SJD. REGULATION AWARD NATIONAL ASSOCIATION OF SECURTTIFS TWATFRS REGULATION. INC. CASE: 97-05768 •/** Lance Welsh, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Menlo Park, CA. Respondent appeared Pro Se through its Compliance Analyst, Bob Salvador, Palo Alto, CA DATE FILED: December 10, 1997 CASE SUMMARY: Claimant alleged that respondent provided erroneous information and later exercised his INTC option

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Ronald Mizrahi vs. Case No. 97-05765 Names of Respondents First American Equities, Inc. Michael G. Poliak John T. Lawrence REPRESENTATION For Claimant Ronald Mizrahi ("Claimant") appeared John E. Lawlor, Esq., a sole practitioner with offices located in Mineola, New York. For Respondent First American Equities, Inc. ("First American"), appeared

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: GKN Securities Corp., ("Claimant") vs. Nathan Goldstein, Cambridge Capital LLC, Thomas Rossi, Norman J. Brodeur, and Kevin Doyle, ("Respondents") vs. David Nussbaum and Robert Gladstone, ("Third Party Respondents") Case Number: 97-05762 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant GKN Securities Corp., hereinafter referred to as "Claimant": Edward Pomerantz, Esq.,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: D.W. Sivers Co. Profit Sharing Trust, D.W. Sivers Co. Retirement Trust, D.W. Sivers Company and E. Anne Sivers, Claimants vs. Raymond James & Associates, Inc., Investment Management & Research, Inc., McGee Financial Group, Inc., Judith Headington McGee, Marvin D. Pratt and Robb J. Severdia, Respondents. Case Number: 97-05761 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Jack H. and Wilhehnina L. Wilson Case No. 00-02583 Name of Respondent Locust Street Securities, Inc. Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Jack H. and Wilhelmina L. Wilson hereinafter collectively referred to as "Claimants": John R. Kiefner, Jr., Esq. of Kiefner & Renaldo, P.A., St. Petersburg, FL. For Locust Street Securi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: D.L. Cromwell Investments, Inc. v. Laidlaw Global Securities, Inc. Case No. 00-00283 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES Claimant: Martin P. Russo, Esq. MPR Law Practice, P.C. Peekskill, New York For Respondent: Marc S. Gottlieb, Esq. Laidlaw Global Securities, Inc. New York, New York CASE INFORMATION Statement of Claim filed on

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Christopher J. Peers and Maryse Peers Dean Kopp and Joan Kopp Case No. 00-00027 William Sedkey Saydein; George Clarence Bowen; Mark Stephen Vandehey; Kenneth Charles Eich; Peter Kenneth O'Leary; Arlene Marie Wilson; Andrew John Donohue; Oppenheimer Funds, Inc.; Oppenheimer Acquisition Corp.; Massachusetts Mutual Life Insurance Co.; Mass Mutual Holding Co.; and, Mult

PUG.18.1999 3:09PM NASD BOCA . NO.102 P.8 AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant A.G. Edwards & Sons, Inc. 97-05752 Name of Respondent Michael Ian Tormey WilliamS. Pott REPRESftNTATCON For Claimant: Clay L. Grumke, Esq. of A.G. Edwards & Sons* Inc., St. Louis, Missouri. For Respondent Michael Ian Tonncy ("Tonney"): Christopher Venxm, Esq. of the law finn of

AWARD \ NASD Regulation, Inc. In the Matter of the Arbitration Between - Name of Claimant Charles L. Hart and 97-05751 Name of Respondent FBS Investment Services, Inc. First Bank System d/b/a Colorado National Bank REPRESENTATION OF PARTIES Charles L. Hart ("Claimant") was represented by Lee N. Sternal, Esq., Pueblo, Colorado. FBS Investment Services, Inc.("Respondent FBSIS") and First Bank System oVb/a Colorado National Bank ("Responden

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Greg Salvati vs. Case No. 97-05747 Name of Respondents Klein, Maus & Shire, Inc. Mohammed Ali Kahn REPRESENTATION For Claimant Greg Salvati ("Claimant") appeared Steven Eckhaus, Esq., of the Finn Eckhaus & Olson, located in New York, New York. For Respondents Klein, Maus & Shire, Inc. ("KMS") and Mohammed Ali Kahn ("Kahn") (collectively "Respon