N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC CASE: 99-05060 Richard B. Mancill and Amy E. Pounds, claimants vs. Ameritrade, Inc., respondent. ATTORNEYS: Claimants, Richard B. Mancill & Amy E, Pounds, ("Claimants"), appeared Pro Se., Clemson, SC. For Respondent, Ameritrade, Inc. ("Respondent"), James J. Vihstadt, Regulatory Attorney for Ameritrade, Inc., Bellvue, NE. DATE FILED: November 8, 1999 CASE SUMMAR

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Gary Savage Case No. 99-05053 Names of Respondents Olde Discount Corporation Philip Gregory Fischer Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Gary Savage ("Savage"), hereinafter referred to as "Claimant": J. Pat Sadler, Esq. of Sadler & Hovdesven, P.C., Atlanta, Georgia. For Olde Discount Corporation ("Olde") an

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Vito Colonna and Debra Colonna, Claimants Vs. Merrill Lynch Pierce Fenner & Smith, Inc., and Vicenzo Costan%o 7 and Adam Walter Schoesler, Respondents. Case Number: 99-05049 Hearing Site: Cleveland, Ohio ^PRESENTATION OF PARTIES Erwin J. Shustak, Esquire, of Shustak, Jalil & Heller, San Diego, California, represented r-vy Claimants Vito Colonna

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Anthony Tsocanos, (Claimant) vs. Gilford Securities, Inc., (Respondent) Case Number: 99-05046 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Anthony Tsocanos, hereinafter referred to as "Claimant": George J. Calcagnini, Esq., a sole practitioner, Mount Kisco, NY. Respondent, Gilford Securities, Inc., hereinafter referred to as "Respondent": Norman S.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-05045 Daniel Rosenson & Irma Rosenson, claimants vs. Prudential Securities, Inc. and Louis Liberatore, respondents. ATTORNEYS: Claimants appeared Pro Se., Delray Beach, FL. For Respondents appeared in-house counsel Darleen Monaco, Esq., New York, NY. DATE FILED: November 8, 1999 CASE SUMMARY: Claimants alleged that respondents purchased a New York City General Obligations Serie

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joseph Ciaglia, (Claimant) vs. Salomon Smith Barney Inc. and Rudolph Depolo, (Respondents) Case Number: 99-05043 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Joseph Ciaglia, hereinafter referred to as "Claimant", appeared pro se. Respondents, Salomon Smith Barney Inc. ("Salomon") and Rudolph Depolo ("Depolo"), hereinafter collectively referred to as "Re

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Michael Pacifico Michael Pacifico IRA dated 11/16/99 Case No. 00-05534 Names of Respondents Prudential Securities, Inc. Alex Muscati, III Hearing Site: Tampa, Florida For Michael Pacifico ("Pacifico") and Michael Pacifico IRA dated 11/16/99, hereinafter referred to as "Claimants": Delmer C, Cowing HI, P.A., Delray Beach, Florida. For Prude

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Joseph and Mae Fishbach Michael J. Fishbach Paul D. Giles Reuben Hertz and Jacqueline Hertz Case No. 00-00551 Richard Sears Nancy J. Rakowski Ohmer Jack Anderson and Opal Anderson The Ohmer Jack Anderson Trust Herbert Myers Brian Grothe, Individually and as Trustee of The Brian Grothe Revocable Trust Louis Meucci Evelyn Rubin,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Zlatka (Lola) Cular and Louis E. Pappas, (Claimants) vs. Metropolitan Life Insurance Company, (Respondent) Case Number: 99-05034 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Zlatka (Lola) Cular ("Cular") and Louis E. Pappas ("Pappas"), hereinafter collectively referred to as "Claimants": J. Nicholas Suhr, Esq., a sole practitioner, Holmdel, NJ (Mr.

Award NASD Dispute Resolution, Inc. In the Mailer of fhe Arbitration Between; Arnold Verosloff, (Claimant) vs. Prudential Securities Incorporated and Robert Bleismann, (Respondents) Case Number: 99-05033 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Arnold Verosloff, hereinafter referred to as "Claimant": Dennis Alan Auciello, Esq., Dennis Alan Auciello, P.A., New Brunswick, NJ. Respondents, Prudential Securities Incorporated