Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Albert Lackajs Case No. 99-03803 Names of Respondents Charles E. Giamo J.W. Barclay & Co., Inc. REPRESENTATION OF PARTIES For Albert Lackajs ("Lackajs"), hereinafter referred to as "Claimant": Patrick A. Davis, Esq., Clearwater, FL. For Charles E. Giamo ("Giamo") and J.W. Barclay & Co., Inc. ("JWB"), hereinafter collectively referred to as "

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: R. Kenneth Landow, Claimant v. Charies Wright and Drake Capital Securities. Inc. Respondents. Case Number 98-04818 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimant: Thomas R. Laube, Esq. Sandler, Lasry, Laube, Byer & Valdez San Diego, California For Respondents: David Lenny, Esq. Donahue, Mesereau & Leids, LLP Los Angeles, California CASE INFO

STIPULATIED AWARD NASD Regulation, Inc. in the Matter of the Arbitration Between: Roy and Jean Sowell. (Ciainnants) vs. Charles Schwab & Co., Inc. and James Noack (Respondents). Case Number: . 98-04817 Hearino Site: Houston. Texas , REPRESENTATION OF PAi^TIES Claimants, Roy and Jean Soweili, hereinafter collectively referred to as "Claimants": William Hawkins, Esq.. Spring, Texas. Respondent, Charles Schwab & Co.. Inc. and James Noack, hereinafter

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Eileen Woodley Case No. 98-04806 Names of Rest>ondents Auerbach, Pollak & Richardson, Inc. Robert Pierce Onthank SBC Warburg Dillon Read, Inc. n/k/a UBS Warburg, LLC For Eileen Woodley, hereinafter referred to as "Claimant": Robert E. Gordon, Esq. and Lonnie K. Martens, Esq., Davis, Gordon & Doner, P.A. On or about May 24, 1999, Lonnie K. Ma

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John E. Armstrong, Claimant v. Global Equities Group, Inc., Hanifen,InihofrClearing Corp. a/k/a Fiserv Correspondent Services, Inc., Tasin & Company, Inc., Michael Smith, Mizanul Kabir, Thomas Gay, Aleksandr Shvarts, Michael H. Christ, and Thomas L. McDermott, Respondents Tasin & Con:^)any, Inc., Cross-Claimant v. Michael Smith and Thomas Gay, Cross-Respondents Case Number: 98-04804 Hea

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Ethel B. Schlenkerman Case No. 98-04803 Name of Respondent Doreen Mary Goldbronn REPRESENTATION OF PARTIES For Ethel B. Schlenkerman ("Schlenkerman"), hereinafter referred to as "Claimant": Kalju Nekvasil, Esq. of the law firm of Goodman & Nekvasil, P.A., Clearwater, Florida. For Doreen Mary Goldbronn ("Goldbronn"), hereinafter referred to as "Respondent"

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Salomon Smith Barney, Inc., Claimant v. Alvin Robbins, Respondent. Case Number: 98-04896 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Mark J. Alonso, Esq. Law Offices of Mark J. Alonso, P.C. New York, New York For Respondent: Steven E. Rau, Esq. and Paul M. Floyd, Esq. Rau & Floyd, P.L.L.P. Mirmeapolis, Minnesota CASE INFORMATION

N.A.S.D. RECil LATION AWARD NAIJONAL ASSOCI.VnON OF SECl RITIES DEALERS RECiLLATlON, INC. CASE: 98-04893 Wolf A. Popper and Wolf A. Popper, Inc.. claimants vs. Madison Capital Markets Corporation and Lawrence Zelin. respondents. ATTORNEYS: For Claimants. Wolf A. Popper and Wolf A. Popper. Inc.. appeared Lawrence D. Waxman, E.sq. of the firm Waxman & Waxman, P.C. New York, NY. Respondent Madison Capital Markets Corporation, did not respond to the Stateme

WV.ARi' NASI) Rtyulidion, Inc. CASE: 98-04880 Siephan StcphanotY. claimant vs. Ceres Securities. Inc. and .Ameriirade Clearing, Inc. respondents. ATTORNEYS: Claimant Stephau Stephanoff. appeared Pro Se., Rnncho Mirage, CA Respondent Ceres Securities. Inc. (Ameritrade, Inc.). appeared through its Vice President. James A. Ricketts, Omaha, NE. Respondent Ameritrade Clearing. Inc. (Advanced Clearing, Inc.), appeared through its Vice President & Cont

Award N.ASD Regulation. Inc. In the Matter of the Arbitration Between: John Zieran, (Claimant) vs. Vanguard Marketing Corporation, (Respondent) Case Number: 98-04878 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, John Zieran ("Zieran"), hereinafter referred to as "Claimant", appeared pro se. Respondent, Vanguard Marketing Corporation ("Vanguard"), hereinafter referred to as "Respondent": Pauline C. Scalvino, Esq., Principal and Ass