Award NASD Dispute Resoiution, Inc. In the Matter of the Arbitration Between: Michael Tabman. (Claimant) v. E*Trade Securities, inc., (Respondent) Case Number: 99-05440 TARTIES Claimant Michael Tabman ("Tabman"): was pro .ve. Respondent E*Trade Securities, Inc. (•*E*Trade"): Joseph Floren. Esq.. Steefel, Levitt & Weiss, San Francisco, Califomia CASE INFORMATION Statement of Claim filed on or about: December 06. 1999 Claimant Tabman signed th

stipulated Award NASD Dispute Resoludon In the Matter of the Arbitration Between: Name of the Claimant Ca.se Number: 99-05433 Ralph Marranzini Name nf the Respondents Hearing Site: Philadelphia, PA Citigroup Global Markets, Inc. fi'lc/a Salomon Smith Bamey, Inc. Fred Cregan Hill, Jr. Robert Timothy Higgins RFPWFSFNTATTON OF PARTTFS Claimant, Ralph Marranzini, hereinafter referred to as "Claimant", was represented by Mark Gottlieb, Esq.,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Jack R. Marshall Case No. 99-05425 Name of Respondent Ameritrade, Inc. REPRESENTATION OF PARTffiS Claimant Jack R. Marshall, hereinafter referred to as "Claimant", appeared pro se. For Respondent Ameritrade, Inc., hereinafter referred to as "Respondent": Andrew Harger, Esq. of Bellevue, Nebraska. CASE INFORMATION Statement of Claim filed on or about

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Bebween: Verginia D'Hondt v. Michael G. Zuiinski, Sigma Financial Corporation and Jerome Stanley Rydell Case Number: 99-5423 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Claimant, Verginia D'Hondt ("D'Hondt"), hereinafter referred to as "Claimant": Anthony V. Trogan, Esq., Weisman, Trogan, Young & Schloss, Bingham Farms, Michigan. Respondents, Michael G. Zuiinski ("

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-03910 Olde Discount Corporation, claimant vs. James G. Gardner, respondent. ATTORNEYS: For Claimant, Olde Discount Corporation, ("Claimant"), appeared in-house-counsel, Aaron L. Kleid, Esq., Detroit, ML For Respondent, James G. Gardner, ("Respondent"), appeared Joshua E. Reynolds, Esq., Sarasota, FL. DATE FILED: August 25, 1999 CASE SUMMARY: Claimant alleged that Respondent owe

Award NASD Dispute Resolution, In^ In the Matter of the Arbitration Bebween: Retpak Limited v. First Security Investments, Inc, Case Number: 99-05415 Hearinq Site: Southfield, Michigan REPRESENTATION OF PARTIES Claimant, Retpak Limited, hereinafter referred to as "Claimant": John Kidner. Respondent, First Security Investments, Inc., hereinafter referred to as "Respondent": Richard E. Miller, Esq., Braverman, Kaskey & Caprara, Philadelphia, Pennsylvania.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Anthony W. Frohlich and Mathis, Dallas & Frohlich Profit Sharing Plan F.B.O. Anthony Frohlich, Claimant Vs. The Sachs Company, and Conners & Co., Inc., Respondents. Case Number: 99-05414 Hearing Site: Cincinnati, Ohio REPRESENTATTON OF PARTIES Claimant Anthony W. Frohlich and Mathis, Dallas & Frohlich Profit Sharing Plan F.B.O. Anthony Frohlich ("Frohli

Award NASD Dispute Resoiution In the Matter of the Arbitration Between: Donald C. Bennett, (Claimant) vs. LaJolla Capital Corp., Pacific Cortez Securities, Inc., Alpine Securities Corp., Mark Hesterman, Harold B.J. Gallison, Christo Kiziroglou, Eric Peter Lesak, Michael A. Puorro, Robert Payton Bambery, Leland C. Swift, Thomas P. Coonan, and Enranett A. Larkin Co. Inc., (Respondents) Case Number: 99-05406 Hearing Site: Albany, New York REFRESEINTTATION

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Northwestern Business College, Inc., (Claimants) v. Edward D. Jones & Co. and Thomas Ditmar, (Respondents) Case Number: 99-05401 Hearing Site: Chicago, Illinois REPRESENTATTON OF PARTTES Claimant Northwestern Business College, Inc. ("NBCI"): Paul F. Schofield, Esq., Siebel, Schofield & Varde. Respondent Edward D. Jones & Co. ("Edward D. Jones") and Thomas Ditmar ("

Award NASD Dispute Resolution, inc. In the Matter of the Arbitration Between: Raymond James & Associates, Inc., (Claimant) vs. Daniel A. Wakefield Case Number: 99-05499 Hearinq Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Raymond James & Associates, Inc., ("Claimant"): Deborah J. Howard, Esq.: Attorney at Raymond James & Associates, located in St. Petersburg, FL. Respondent, Daniel A. Wakefield ("Respondent"): Chris Carrie, Esq., Carrie,