APR.14.1999 10:i0flM N0 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Ann Marie Bhola 97-03225 Name of Respondent Smith Barney, Inc. REPRESENTATION For Claimant: Audrey McKIbbin Mown, Esq., Attorney at Law, Jacksonville, Florida. For Respondent Eric L. Adler, Esq., Associate General Counsel, Smith Barney. Inc., New York, New York and Mart G. Alexander, Esq., Holland & Knight, L.L.P., Jacksonvil

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Charles Schwab & Co. , Inc. Arbitration No. 97-03216 Name of Respondent fa) Frank G. Sallach REPRESENTATION For Claimant: Ted F. Angus, Esq., Keesal, Young & Logan, San Francisco, California For Respondent: Frank G. Sallach, Tigard, Oregon CASE INFORMATION Statement of Claim filed: June 23, 1997 Claimant's Su

Award NASD Regulation, Inc. In the Matter of the Arbitration Between; Charles Schwab & Co., Inc., (Claimant / Counter-Respondent) vs. Preston Reese, (Respondent / Counter-Claimant). Case Number: 97-03214 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Charles Schwab & Co., Inc. hereinafter referred to as "Schwab": Mauricio S. Beugelmans, Esq., Charles Schwab & Co., Inc., San Francisco, California. Preston Reese hereinafter referre

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants j ' Rouhi & John Huddleston & Ardeshir Yegaran' 97-03209 Name of Respondent Corporate Securities Group, Inc. REPRESENTATION Claimants Rouhi and John Huddleston and Ardeshir Yeganeh ("Claimants") were represented by John Huddleston, Respondent Corporate Securities Group, Inc. ("Respondent") was represented by Luigi Spad

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Nance L. Outlaw, Claimant v. Lawrence S. Jay and Long Securities Corporation n, Respondents Case Number: 99-05380 Hearing Site: Los Angeles, Caiifomia REPRESENTATION OF PARTIES For Claimant: Steven G. Grossmann, Esq. Law Offices of Steven G. Grossmaim Woodland Hills, Caiifomia For Respondents: H. Thomas Fehn, Esq. Fields, Fehn & Sherwin Los Angeles, Caiifomia CAS

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Lester P. Eidelhoch 97-03201 Name of Respondents Kerry Scott Brecker Howard Scott Gelfand REPRESENTATION For Claimant Lester P. Eidelhoch ("Claimant") appeared Camille T. Kahler, Esq. of the offices of Siegel, Heste, Stephens, Kahler & Manion located in Utica, New York. Respondent Kerry Scott Brecker ("Brecker") appeared pro se. Respondent Howard Sc

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Herbert Lee Tatum, (Claimant) vs. A.S. Goldmen & Co., Inc., Charles Caracciolo, and Christopher Richardson, (Respondents) Case Number: 97-03200 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Herbert Lee Tatum, hereinafter referred to as "Claimant": Bruce E. Baldinger, Esq., Baldinger & Levine, L.L.C., Bridgewater, NJ. Claimant originally appeared pro se,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATIONj^SEOJRITIES DEALERS REFLATION.JNC. CASE: 97-03197 Rutty Makowski. claimant vs. Diiniel J. Gamhino. Jr.. respondent. ATTORNEYS: Claimant appeared Pro Sc. Belvidere, IL. For Respondent appeared, Michael Ulilla, Esq., of the firm Mure' & Carone, P.C.. Brooklyn, NY. DATE FILED: June 27, 1997. CASE SUMMARY: Claimant alleged misrepresentation regarding the purchase of Alpha Solar Co. common slock. Cla

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:00-02077 Helen O'Donnell, claimant vs. TD Waterhouse Securities, respondent. ATTORNEYS: Claimant appeared Pro Se, Brighton, MA. For Respondent appeared Jam's Campanella, Esq., in-house counsel, New York, NY. DATE FILED: May 18, 2000 CASE SUMMARY: Claimant alleged that due to respondents negligence she was unable to timely execute a sell order of the HGSI stock and purchase Rambus stock

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03195 Frederick J. Rossini and Althea M. Rossini, claimants vs. Sovereign Equities Management Corp., and Thomas Hands, respondents. ATTORNEY: Claimant appeared Pro Se, Punta Gorda, FL. Respondent Sovereign Equities Management Corp., did not respond to the Statement of Claim. Respondent Thomas Hands appeared Pro Se, Boca Raton, FL, DATE FILED: June 27, 1997