Award NASD Dispute Resbiutidri, In the Matter of the Arbitration Between; Jeffrey Watzman and Kimberly Watzman vs. A.G. Edwards & Sons, Inc., Donald J. Van De Steene & Mark M. Bonnot Case Number: 99-4801 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimants, Jeffrey Watzman and Kimberly, hereinafter collectively referred to as "Claimants": Dean J. Groulx, Esq., Nine & Groulx, P.C., Bloomfield Hills, Michigan. Respondents, A.G. Edwards

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Dana Schafer, individually Dana Schafer, IRA Case No. 99-04798 Hearing Site: Chicago, Illinois Name of Respondents Prudential Securities, Inc. J. David Veitch REPRESENTATION OF PARTIES Claimants Dana Schafer, individually and Dana Schafer, IRA ("Ms. Schafer") were represented by P. Decker Sachse, Esq. of Barkley Titus Hillis & Reynolds

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds Inc. vs. Case No. 99-04794 Name of Respondent David F. Pac REPRESENTATION OF PARTIES Claimant, Dean Witter Reynolds, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, Illinois Respondent, David F. Pac, hereinafter referred to as "Respondent," did not appear. CASE INFORMATION

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of the Claimants Case Number: 00-05512 Chetty and Uma Mamandur Names of the Respondents Hearing Site: Little Rock, Arkansas Prudential Securities, Inc. Jimmy Earl Power, Jr. a/k/a Jason Power REPRESENTATION OF PARTIES For Chetty and Uma Mamandur, hereinafter collectively referred to as "Claimants": Richard T. Donovan, Esq. of the Rose Law Firm, P.A., Little Rock,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04793 Zheng Xu, claimant vs. Suretrade, Inc., respondents ATTORNEYS: Claimant appeared Pro Se., West Hartford, CT. Respondent appeared through its Assistant Director of Compliance, Yolanda D. Black, New York, NY. DATE FILED: October 25, 1999 CASE SUMMARY: Claimant alleged that respondent erroneously informed him that the short order he placed on December 22, 1998 for UBID was n

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Arthur and Roberta Goldstein, (Claimants) vs. Ryan Beck & Co. and David Stancavish, (Respondents) Case Number: 99-04786 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Arthur Goldstein ("Mr. Goldstein") and Roberta Goldstein ("Mrs. Goldstein"), hereinafter collectively referred to as "Claimants", appeared pro se. Respondents, Ryan Beck & Co. ("Ryan")

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name James E. Deady and James E. Deady Advertising, Inc. 401(k) Profit Sharing Plan and Trust Case No. 99-04779 J.C. Bradford & Co., Branch Cabell & Co., Inc., Bernard A. Davey, III, Martin J. Bannon, III, Read M. Northen, Jr. and Andrew L. May T?epresentfltinn of Parties Claimants James E. Deady ("Mr. Deady") and James E. Deady Advertising, Inc. 401(

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04778 Mylon Vann and Linda Vann, Claimants vs. Merit Capital Associates, Inc. and Richard Alan Warner, Respondents. ATTORNEYS: Claimants appeared Pro Se, Boca Raton, FL. For Respondents, appeared in-house counsel, Robert Fitzpatrick, Esq., Westport, CT. DATE FILED: October 22, 1999 CASE SUMMARY: Claimants alleged that Respondent, Richard A. Warner, fraudulently misrepresented a

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. Case No. 99-04768 Name of Respondent Roy Neil Apple REPRESENTATION OF PARTIES For Prudential Securities, Inc. ("Prudential"), hereinafter referred to as "Claimant": Joseph C. Rosa, Associate Vice President, Assistant General Counsel, Prudential Securities, Inc. until a substitution of counsel on June 9, 2000. Thereafter,

Award NASD Dispute Resolution, Inc. _In -the Matter of the Arhitratinn Between. „ „ Name of Claimant Robert A. Foisie Case NCK 99-04767 Name of Respondent Hearing Site: Boca Raton, Florida Brett S. Borgersen REPRESENTATION OF PARTIES For Robert A. Foisie ("Foisie") hereinafter referred to as "Claimant": Lawrence P. Brodie, Esq., Brodie and Pawluc, Stuart, Florida. For Brett S. Borgersen {^BorgersepfXhereinafter referred to as "Respondent": R