NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-05523 Barry MacKeigan, Claimant/Counterclaim Respondent vs. Web Street Securities, Inc., Respondent/Counterclaim Claimant. ATTORNEYS: Claimant/Counterclaim Respondent appeared Pro Se, Cape Coral, FL. For Respondent/Counterclaim Claimant appeared in-house counsel, James C. Hermann, Esq., Chicago, IL. DATE FILED: December 10, 1999 CASE SUMMARY: Claimant alleged that Respondent sh

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-05522 PaineWebber Incorporated, claimant vs. Christopher Cudnik, respondent. ATTORNEYS: For Claimant PaineWebber Incorporated ("Claimant"), Romaine L. Gardner, Esq., Counsel to PaineWebber Incorporated, Staten Island, New York. Respondent Christopher Cudnik ("Respondent"), did not respond to the Statement of Claim. DATE FILED: 12/10/1999 CASH SUMMARY: Cbim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Barber, (Claimant) vs. Walsh Manning Securities, LLC, Morgan Wilshire Securities, Inc., H.D. Brous & Co., Inc., Mark J. Snoozy, Howard D. Brous, Michael Finnan, and Barry Cassese, (Respondents) Case Number: 99-05514 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Robert Barber, hereinafter referred to as "Claimant": Brian H. Reis, Esq., Brian Reis & A

Stipuliated Award NAI6D Dispiite Resolution In the Matter oi the Arbitration Between Luella Holman. Claimant vs. PES Financial Group. Inc., Susan M. Fine, and James Corrigan, Respondents. Case Number 99-05511 HearinQ Site: Chteaqo. Illinois REPRESENTATION OF PARTIES Claimant. Luella Holman: Johrh Muldoon. Esq., and James Flynn, Esq.. Chicago. IBinois. Respondents, PEB Financial'. Group, Inc. Susan M. Fine and James Conigan, Hereinafter collectively

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Sheldon and Janet Razin, David Razin, and Quality Systems, Inc., Claimants v. Eric Rosenfeld, Paul Alar, Oppenheimer Arbitrage Partners, L.P., Oppenheimer Arbitrage Management, L.P., CIBC Oppenheimer Corp. n/k/a CIBC World Markets Corp., and Mid-Ocean Partners, L.P., Respondents Case Number: 99-03920 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claim

NASD DISPUTE RESOLITION AWARD NASD DISPITE RESOLITION. INC. CASE: 99-05503 Charles Schwab & Co., Inc., claimant vs. Sherry Brown, re.spondent. ATTORNEYS: For claimant Charles Schwab & Co., Inc. appeared in-house counsel, Mauricio S. Beugelmans, Esq.. San Francisco, CA Respondent Sherry Brown, did not respond to the statement of claim. DATE FILED: December 8, 1999 CASE SUMMARY: Claimant alleged respondent has not paid the outstanding debit balance

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Fred and Beatrice Olinsky, (Claimants) vs. Neil Okun and Gruntal & Co., L.L.C., (Respondents) Case Number: 99-03919 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Fred and Beatrice Olinsky, hereinafter collectively referred to as "Claimants": George W. Klein, Esq., Law Offices of George W. Klein, Forest Hills, NY. Respondents Neil Okun ("Okun") and Gr

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Citigroup Global Markets Holdings, Inc. vs. Case Number: 06-02684 Hearing Site: Houston, Texas Name of Respondent Sheryl Lee King NATURE OF THE DISPUTE Member and Non-Member vs. Associated Person REPRESENTATION OF PARTIES Citigroup Global Markets, Inc. f/k/a Salo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fidelity Brokerage Services, Inc. and National Financial Services Corporation (Claimants) v. Michael John LaVallie, individually and as Trustee for the Michael C. LaVallie Trust and as for the Nikita LaVallie Trust, and Merrill Lynch Pierce Fenner & Smith Inc. (Respondents) Case Number: 99-03918 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Fidelity Broke

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-05469 Fahnestock & Co., Inc., claimant vs. Sidney J. Schuster, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Eric J. Schames, Esq., New York, NY. Respondent appeared Pro Se, New York, NY. DATE HLED: December 7, 1999 CASE SUMMARY: Claimant alleged that respondent failed to repay an enhanced conmiission payout. Claimant further alleged that since respondent has faile