N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-04467 Michael Makowski, claimant vs. First Montauk Securities Corp., respondent. ATTORNEYS: Claimant Michael Makowski appeared Pro Se., Concordville, Pennsylvania. For Respondent First Montauk Securities, Corp. appeared Paul A. Lieberman, Esq., and, Barry R. Lax, Esq., of the firm, Goldstein & DiGiolia, LLP, New York, New York. DATE FILED: 11/24/1998 CASE

AWARD NASD Regulation, Inc. CASE: 98-04465 David Michael Jamison, claimant vs. Thomas Morrison and Hazlett, Burt & Watson, Inc. respondents. ATTORNEYS: For Claimant David Michael Jamison, appeared John O. Tabacchi. Esq., Cadiz, OH. Respondents Thomas Morrison, and Hazlett. Burt & Watson. Inc.. appeared through their Senior Vice President. Howard A. Kellv. Wheeling. WV. DATE FILED: 11/24/1998 CASE SUMMARY: Claimant, a novice in option trading, in

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-04463 GKN Securities, Inc.. claimant vs. Michael Smith, respondent. ATTORNEYS: Claimant GKN Securities. Inc., appeared through its Director of Litigation. Katherine Nathan. New York, New York. Respondent Michael Smith did not enter an appearance in this matter. DATE FILED: 11/24/1998 CASE SUMMARY: Claimant alleged that on May 23, 1997 Respondent entered in

Award NASD Regulation, Inc. In the Matter oflhe Arbitration Between: Gary Miller, (Claimant) vs. Dain Rauscher, Inc. and Edward Weeks, (Respondents). Case Number: 98-04458 Hearing Site: Omaha, Nebraska REPRESENTATION OF PARTIES Claimant, Gary Miller ("Miller"), hereinafter referred to as "Claimant": Gail E. Boliver, Esq., Marshalltown, Iowa. Respondents, Dain Rauscher, Inc. ("Dain Rauscher") and Edward Weeks ("Weeks"), hereinafter collectively r

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant NASD Case No. 98-04457 American Express Financial Advisors, Inc. Name of Respondent Bemard Sanders REPRESENTATION Claimant American Express Financial Advisors, Inc. ("Claimant") was represented by Gary Irwin, Attomey, American Express Financial Advisors, Mirmeapolis, Miimesota. Respondent Bemard Sanders ("Respondent" or "Mr. Sanders" ) was represented b

AWARD NASI) Regulation, Inc. CASE: 98-04451 GKN Securities Corp.. claimant vs. Ahmed Karecm, respondent. ArrORNEYS: Claimant appeared through its Director of Litigation, Katherine Nathan - New York, NY Respondent appeared Pro Se - New York, NY DATL PILED: November 24, 1998 CASE SUMMARY: Claimant alleged breach of promissory note. ARBITRATOR'S REPORT: GKN Securities. Coip. ("GKN ") does not make ii clear, within the materials it submitted for my

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Dalton, Inc. Case No. 98-04446 Name of Respondent E*Trade Securities, Inc. REPRESENTATION OF PARTIES For Claimant: Michael Richards, Esq. of Baker, Donelson, Bearman & Caldwell, Memphis, TN. For Respondent: John M. McCoy, III, Esq. of Bkdj Marella, Boxer & Wolpert, Los Angeles, CA. Statement of Claim filed on or about November 24, 1998. Claimant

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-03861 PaineWebber Incorporated, Claimant vs. Robert D. Carson, Respondent. ATTORNEYS: For Claimant PaineWebber Incorporated, ("Claimant"), appeared Romaine L. Gardner, Staten Island, NY. For Respondent, Robert D. Carson, (Respondent"), appeared Charles F. Brega of the Firm Brega & Winters P.C., Denver, CO. DATE FILED: August 23, 1999 CASE SUMMARY: Claimant alleged that after Re

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Noel and Bradley Houze Name of Respondents Fairchild Financial Group, Inc. Timothy E. Bell George E. Hubbard, Jr. Case No. 98-04436 REPRESENTATION OF PARTIES Claimants Noel Houze and Bradley Houze ("Claimants") represented themselves. Respondents VTR Capital, Inc. n/k/a Fairchild Financial Group Inc. ("VTR"), Timothy E. Bell ("Bell"), and George E.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Charles Schwab & Company, Inc. vs. Case No. 98-04434 Name of Respondent William Zardus REPRESENTATION OF PARTIES Claimant, Charles Schwab & Co., Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Gomberg Kane & Fischer, Ltd., Chicago, Illinois Respondent, William Zardus, hereinafter referred to as "Respondent" appeared pro se. CASE INF