Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard C. Allard, (Claimant) vs. Salomon Smith Barney, Inc. and Kevin N. Hansen., (Respondents). Case Number: 99-04865 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES Richard C. Allard "Claimant": James A. Oliver, Esq. Short Cressman & Burgess Seattle, Washington Salomon Smith Barney and Kevin N. Hansen "Respondents": Christopher O'Malley, Esq. Salomon

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Stifel, Nicolaus & Company, Inc. (Claimant) vs. G. Bradley Taylor (Respondent) Case Number: 99-04859 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Stifel, Nicolaus & Company, inc. ("Stifel"): Peter R. Sonderby, Law Offices of Peter R. Sonderby, Chicago, Illinois Respondent G. Bradley Taylor ("Taylor") was pro se CASE INFORMATION Statement of Claim filed on

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: nf t1v> Plpimant P^CP Numlw 00-05521 PTRInc. Ronald Vivenzio H p nri n g ^itf • Philadelphia, PA PATTTF.S Claimant, PTR Inc. ("PTR"), hereinafter referred to as "Claimant," was represented at the hearing, by its President, James Crompton. Respondent, Ronald Vivenzio ("Vivenzio"), hereinafter referred to as "Respondent," represented himself at the he

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jorge Caso-Bercht (Claimant) CIBC Oppenheimer Corporation Morton Tinkelman (Respondents) Privat Kredit Bank Institutional Investments, S.A. Miguel Madero O'Brien Inter-American Securities Samba, Inc. Jamie Kalb (Third-Party Respondents) Case Number: 99-04853 Hearing Site: NewYork, New York REPRESENTATION OF PARTIES Claimant, Jorge Caso-Bercht

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Daniel A. Gabriel, (Claimant) vs. Larry A. Heffez, (Respondent) Case Number: 99-04851 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Daniel A. Gabriel, hereinafter referred to as "Claimant": James A. Bush, Esq. > a sole practitioner, Cardiff By the Sea, CA. Respondent, Larry A. Heffez, hereinafter referred to as "Respondent": Robert Melamed, Esq., a s

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert Adams, (Claimant) vs. A.G. Edwards & Sons, Inc. and William Driscoll, (Respondents) Case Number: 99-04848 Hearing Site: Boston, Massachusetts ^PRESENTATION OF PARTIES Claimant, Robert Adams, hereinafter referred to as "Claimant": Anthony P. Alessi, Esq., Concannon Law Offices, Marshfield, MA. Respondents, A.G. Edwards & Sons, Inc. ("Edwards")and William Driscoll ("Drisc

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Vito Solazzo Case No. 99-04847 n Janney Montgomery Scott LLC Bryn Mawr Investment Group, Inc., n/k/a Valley Forge Securities, Inc. Anthony E. Vivino, Jr. nrinoSite- Philadelphia, Pennsylvania op PA KTTFS Claimant, Vito Solazzo ("Solazzo"), hereinafter referred to as "Claimant' 1 : Christopher B. Jones, Esq., Attorney at Law, Scranton, PA. Respondent,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04844 Sandra Eckart, claimant vs. Thomas Johnson and Robert W. Baird & Co., Inc, respondents. ATTORNEYS: For Claimant appeard Mark E. Sanders, Esq. of the firm Hailing & Cayo, Milwaukee, WI. For Respondents appeared in-house counsel Brian D. Trexell, Esq., Milwaukee, WI. DATE FILED. October 27, 1999 CASE SUMMARY: Claimant alleged that respondents made unauthorized transactions — ly

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ernest K. Rotering and Janice M. petering, Claimants vs. OMNI Financial Securities, Inc., formerly known as Diversified Capital Markets, Inc., Quantum Capital Corporation, Michael Patterson, Inc., Thomas T. Daly and Nancy A. Vargo, Respondents. Case Number: 99-04839 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claimants, Ernest K. Rotering and Janice M. R

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Clara S. Cziprusz Case No. 99-04838 Name of Respondent Prudential Securities, Inc. REPRESENTATION OF PARTIES For Clara S. Cziprusz, hereinafter referred to as "Claimant": Scott W. Cichon, Esq. of Cobb Cole & Bell, Daytona Beach, FL. For Prudential Securities, Inc. ("Prudential"), hereinafter referred to as "Respondent": Marci Gold, Vice Presiden