Award NASD Regulation, Inc. In the Matter of the Arisitration Between: TRUSTEE FOR THE BENEFIT OF THE DONALD ALLAN LEITH TRUST, Claimant, ARBITRATION NO. 99-581 V. Hearing Site: Detroit, Michigan HRST OF MICHIGAN CORPORATION. a Delaware Corporation, and HANNA M. SHAMMAS, Respondents. REPRESENTATION OF PARTIES Claimant, Trustee for the Benefit of The Donald Allan Leith Trust, refened to as "Claimant": Edward V. Keelean, Esq. and M

Award NASD Regulation, inc. In the Matter of the Arbitration Between: Ronakt C. Ballard and Ariene Ballard vs. Legg Mason Wood Walker, Inc. and Jonathan R. Legg. Case Number 99-575 Hearing Site: Detroit, Michigan REPR6§6NTATIgN 9? PARTIES Claimants, Ronaki C. Ballard and Ariene Ballard, hereinafter collectively refened to as "Claimants": David M. Black, Esq., Sommers, Schwartz, Silver & Schwartz, P.O., Southfiekj, Michigan Respondent, Legg Mason

AWARD NASD Dispute Resolution, Inc. In the Maiter of the Arbitration Between Name of Claimant John H. Wessel and 99-00399 Chicago, Illinois Name of Respondents Monroe Parker Securities, Inc. James Richard Tkachuk John Michael Tinnelly Neil B. Flamer Richard S. Levitov Bryan J. Herman John Chebak Allen S, Lipsky REPRESENTATION OF PARTIES John H. Wessel ("Claimant") was represented by John A. Dienner, HI, Esq., Kubasiak

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Martin P. Eisner, (Claimant) vs. Charles Schwab & Co., Inc. and Eugene Liang, (Respondents) Case Number: 99-00493 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Martin P. Eisner, hereinafter referred to as "Claimant", appeared pro se. Respondents, Charles Schwab & Co., Inc. ("Schwab") and Eugene Liang ("Liang"), hereinafter collectively referred to as "Respondents": Ma

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Harold J. Spony Case No. 00-02690 Name of Respondent A.G. Edwards & Sons, Inc. Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For Harold J. Spony, hereinafter referred to as "Claimant": Neal J. Blaher, Esq., Orlando, FL. For A.G. Edwards & Sons, Inc. ("AGE"), hereinafter referred to as "Respondent": Jeff Jamieson, Vice President and Co

Award NASD Dispute Resolution, Inc. In ttie Maiter of the .Xrbitration Between: Jacit Skayan, Ilayuta Skayan, and Wilderness II. Inc. - Employee Pension and Profit Sharing Account, (Claimants) vs. Barington Capital Group, LP and Scott Bobrow, (Respondents) Case Number: 99-00320 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimants, Jack Skayan ("J. Skayan"), Hayuta Skayan ("H. Skayan"), and Wilderness II, Inc- Employee Pension and Profit Sharin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gary M. Kawesch and Alex N. Kawesch, Claimants v. ETrade Securities, Inc., Respondent Case Number: 01-04967 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Steven H. Marcus, Esq. Law Offices of Steven H. Marcus Valencia, California For Respondent: Travis R. Wall, Esq. Steefel Levitt & Weiss San Francisco, California CASE INFORMATION

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Ciaimant/Counter-Resoondent Oppenheimer & Co.. Inc. vs. Case Number: 04-04114 Hearing Site: Houston, Texas Names of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Bamey, Inc. and John Timothy Sharpe and Name of Counter-Claimant/Third-Party Claimant John Timothy Sharpe vs. Names of Third-Party Respondents Jon Willhite and Thomas Edw

STIPULATED AWARD NASD Dispute Resolution In the Mailer of the Arbitration Between: Name of Claimant Richard D. Cummins vs. Case Number 05-04209 Hearing Site: Pittsburgh, Pennsylvania Names of Respondents Prudential Equity Group, LLC, Joseph Molinero, and Michael McClain MSPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Richard D. Cummins ("Claimant") was represented by Robert W. Goehring, Esq., Pitts

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-04962 James E. Corbin, claimant vs. Prudential Securities, Inc., and Edward Lester, respondents. ATTORNEYS: Claimant appeared pro se, West Palm Beach, FL. For Respondents appeared in-house counsel, Marcia L. Williams, Esq., New York, NY, DATE FILED: September 21, 2001 CASE SUMMARY: Claimant alleged that respondents failed to disclose material information regarding Cell Pathways (CL