IN THE MATTER OF THE ARBITRATION BETWEEN: WAYNE C. WALKER vs. Case No. 98-04288 CHASE SECURITIES, INC. REPRESENTATION OF PARTIES Claimant, Wayne C. Walker ("Walker"), was represented by Jeffrey L. Liddle, Esq. of Liddle & Robinson, L.L.P. located in New York, New York. Respondent, Chase Securities, bic. ("Chase Securities"), was represented by Stephen L. Ratner, Esq. of Rosenman & Colin, L.L.P. located in New York, New York. CASF !N ^ORM ATIOiN

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03853 Denise K. Montanile, claimant vs. Ameritrade, Inc., respondent. ATTORNEYS: Claimant Denise K. Montanile ("Claimant"), appeared Pro Se., Clifton, NY. For Respondent Ameritrade, Inc. ("Respondent"), Mary Jo Strong, Regulatory Specialist for Ameritrade, Inc., Bellevue, NE. DATE FILED: 8/23/1999 CASE SUMMARY: Claimant maintained that in response to a mar

Award NASD Regnlatioiif Inc In the Matter of the Aibittadon Between; John Skoblar, Gaisoant v. Menill Lynch, I^eice, Fenner &. Snudu InCy DUip K. Gupta and Rodney LMaxtineU, Respondents. Case Number 9S-04285 HearipySite: Los Angeles, California KEPRESENTATION OFPARTIES Claimant: John Skoblar Jdiiey L. Gafliney, Esq. Law Offices of Jef&ey L. Gafiney San IXego, Califomia Respondents: Menill Lynch, Pieioe, Fenner & Smidi, Inc. and Dilip Gupta T

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Garrett A. Mahoney, Claimant vs. Charles Schwab & Co., Inc., Respondent. Case Number: 98-04280 Hearing Site: San Francisco, Califomia REPRESENTATION OF PARTIES Claimant, Garrett A. Mahoney, hereinafter refeiTcd to as "Claimant": Garrett A. Mahoney, Oakland, California Respondent, Charles Schwab & Co., Inc., ("Schwab"), hereinafter referred to as "Respondent": Albert M. Zecher Jr.,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Pmdential Securities, Inc., Claimant v. Frank W. Sipan, Respondent Case Number: 98-04270 Hearing Site: San Diego, Califomia REPRESENTATION OF PARTIES For Claimant: Stephen T. Johnson Pmdential Securities, Inc. Dallas, Texas For Respondent: Frank W. Sipan In Pro Per Chula Vista, Califomia CASE INFORMATION Statement of Claim filed: November 19,1998 Claimant's Uni

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant American Fronteer Financial Corporation and 98-04260 Denver, Colorado Name of Respondent Fox, Reusch & Co., Inc. REPRESENTATION OF PARTIES American Fronteer Financial Corporation ("Claimant") was represented by Carla M. Minckley, Esq., Birge & Mayers, P.C, Denver, Colorado. Fox, Reusch & Co., Inc. ("Respondent") was represented by David L. Bole, Esq., B

stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Brian T. Rogers (Claunant) vs. Credit Suisse Fu-st Boston Corporation (Respondent) Case Number: 98-04252 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Brian T. Rogers ("Rogers"), hereinafter referred to as "Claimant": Jeffrey L. Liddle, Esq., Liddle & Robinson, L.L.P., New York, New York. Respondent, Credit Suisse Fhst Boston Corporation ("Cred

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGUI.ATION. INC. CASE: 98-04251 Robert F. Lepore, claimant vs. Robert Lechman and R.L. Securities, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se., Pt. Pleasant, NJ. For Respondents Robert L. Lechman and R.L. Securities, Inc., appeared Paul W. Thomas, Esq., of the Law Offices of Paul W. Thomas & Associates, Carlsbad, CA. DATE FILED: November 11, 1998 CASE SUMMARY: Claimant

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between le of Claimant Peter Grossman 98-04250 Birchtree Financial Services, Inc. William David Woodward Samuel Taylor Noland John Cadena Nolaod Fmandal Services, Inc. REPRESENTATION For Claimant: Gerald B. Klme, Esq. of the law finn of Sims Moss Kline & Davis, LLP, Atlanta, Georgia. For Respondents Birchtree Financial Services, Inc. ("Birchtree"), William Woodward

stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Prudential Securities, Inc. Case No. 98-04247 Thomas T. & (Sayle L. ProusaUs REPRESENTATION OF PARTIES Claimant Pnidential Securities Incorporated ("Claimant" or "PSI") was represened by Joseph A. Ingrisano. Esq. and Gilben W. Boyce, Esq. of the law fiurm of Kutak Rock, Wsshington, DC Respondents Thomas T. Prousalis and Gayle L. Proiualis hereinafter collectively