N.A.S.D. REGULATION AWARD NATIONAL ASSOCLVTION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-05437 Richard N. Jaeger and Marilyn Jaeger, claunants vs. Charles Schwab & Company, Inc., respondent. ATTORNEYS: Claimants Richard N. Jaeger and Marilyn Jaeger (collectively "Claimants"), appeared Pro Se., Seattle, WA. For Respondent Charles Schwab & Company, Inc., Sean B. Meehan, Office of Corporate Counsel, Charles Schwab & Company, Inc., San Francisco,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-05428 1 800 Daytrade.Com, Inc. Claimant vs. Dan Hunt, Respondent. ATTORNEYS: Claimant 1 800 Daytrade.Com, Inc., ("Claimant"), appeared through its in-house counsel Richard A. Lewins, Esq., Richardson, TX. Respondent, Dan Hunt, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: December 3, 1999 CASE SUMMARY: Claimant alleged that Respondent incurred a debit balan

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Names of Claimants: Luis Enrique Cadena R., Anatilde De Cadena, Guillermo E. Cadena and Juan P. Cadena Case No: 99-05427 Names of Respondents: GKN Securities Corp. and Maico Isaac Winer Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Claimants Luis Enrique Cadena R. ("Luis"), Anatilde De Cadena ("Anatilde"), Guillermo E. Cadena ("Guillermo")

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Lemer Associates, Inc., (Claimant) vs. PaineWebber, Inc., William Scheer, and Michael Gianfrancesco, (Respondents) vs. David Lerner (Third-Party Respondent) Case Number: 99-05419 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, David Lerner Associates, Inc., hereinafter referred to as "Claimant": Joseph W. Anthony, Esq., Anthony OsUund & Baer, P.A., Minneap

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Legacy Securities Corp. Case No. 99-05417 Name of Respondent Orthomatrix, Inc. REPRESENTATION OF PARTIES For Legacy Securities Corp. ("Legacy") hereiimfter referred to as "Claimant": Timothy L. Warnock, Esq. and Taylor A. Gates, Esq. of Bowen Riley Wamock & Jacobson, Nashville, TN. For Orthomatrix, Inc. ("Orthomatrbc") hereinafter referred to as "Re

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Jerry I. Friedman, individually and as Custodian for David S. Friedman and 99-05416 Scottsdale, Arizona Name of Respondents Salomon Smith Bamey Inc. David M. Kutz REPRESENTATION OF PARTIES Jerry I. Friedman, individually and as Custodian for David S. Friedman ("Claimant") was represented by John W. Stewart, Esq., Phoenix, Arizona. Salomo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Randolph W. Sawyer Case No. 99-03905 Name of Respondents Ed Wise; United Securities Alliance, Inc.; and American National Insurance REPRESENTATION OF PARTIES Claimant Randolph W. Sawyer ("Sawyer") was represented by Melvin R. Blumberg, Esq., of the Law Offices of Morris J. Hirschberg P.C., located in San Antonio, Texas. Respondent Ed Wise ("

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant John P. Varga NASD Case No. 98-04798 Name of Respondents Paul Tahan Kenneth Bridgett, Jr. REPRESENTATION: Claimant John P. Varga ("Claimant") represented himself. Respondent Paul Tahan ("Tahan") did not file an answer. Respondent Kenneth Bridgett Jr. ("Bridgett") did not file an answer. STATEMENT OF CLAIM FILED ON: November 29, 1998 CASE SUMMARY

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-04797 John E. Armstrong, claimant vs. Jeremy Crittenden and Computer Clearing Services. Inc. respondents. ATTORNEYS: Claimant John E. Armstrong appeared Pro Se., Fountain Valley, CA. Respondent Jeremy Crittenden appeared Pro Se., New York. NY. For Respondent Computer Clearing Services, Inc.. appeared W. Hubert Plummer. Esq. Plummer & Plummer, LLP. Hauppaug

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Contemporary Investment Management, Inc., (Claimant) vs. Pershing Division of Donaldson, Lufkin & Jenrette Securities Corp., (Respondents) Case Number: 98-04783 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant Contemporary Investment Management, Inc., hereinafter referred to as "Claimant"; Richard J. Grahn, Esq., Looney & Grossman LLP, Boston, MA. Responden