NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04287 Olde Discount Corporation, claimant vs. Donald R. Dynda, respondent. ATTORNEYS: Claimant, Olde Discount Corporation, ("Claimant"), appeared Robert M. Visconti, Detroit, MI. Respondent, Donald R. Dyndra ("Respondent"), did not respond to the Statment of Claim. DATE FILED: September 20, 1999 CASE SUMMARY: Claimant alleged that 100 shares of TA were erroneously issued to Respond

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04286 Richard H. and Carol McCusker, Claimant vs. Citicorp Investment Services, Respondent. ATTORNEYS: Claimants, Richard H. and Carol McCusker ("Claimants"), appeared Pro Se. r Avon, CT. For Respondent, Citicorp Investment Services ("Respondent"), appeared in-house counsel, Donna Daniels, Long Island City, NY. DATE FILED: September 20, 1999 ~~~~ CASE SUMMARY: Claimants all

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John Gerhold and Diane Gerhold, (Claimants) vs. Barren Chase Securities, Inc., Christopher Casdia, First Colonial Securities Group, Inc., First Security Investments, Inc., and Fiserv Correspondent Services, Inc., (Respondents) Case Number: 99-04283 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants John Gerhold and Diane Gerhold, hereinafter collectively refe

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-04280 Centre De Micro-Informatique Appliquee Du Plateau Inc., claimant vs. Wall Street Access, respondent. ATTORNEYS: For Claimant Centre De Micro-Informatique Appliquee Du Plateau Inc. ("Claimant"), Michel Coursol, Montreal, Quebec. For Respondent Wall Street Access ("Respondent"), Joseph A. Mendola, Vice President and General Counsel for Wall Street Acce

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Janney Montgomery Scott LLC (Claimant) vs. Gary R. Gross, (Respondent) and Janney Montgomery Scott LLC (Claimant) vs. John M. Mulvihill (Respondent) Case Number: 99-04278; consolidated with 99-04279 Hearing Site: Philadelphia, Pennsylvania REPRESENTATION OF PARTIES Claimant, Janney Montgomery Scott LLC ("Janney"): Richard A. Purkiss, Senior Vice President, Janney Montgomery

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael Fishman, as Trustee of the Local 144 Service Employees International Union Staff Pension Plan, (Claimant) vs. Salomon Smith Barney Asset Management, Inc. and Smith Barney Asset Management, Inc., (Respondents) Case Number: 99-04276 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Michael Fishman, as Trustee of the Local 144 Service Employees Internat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dean Witter Reynolds, Inc., (Claimant) vs. Kevin Blackburn, (Respondent) Case Number: 99-04260 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Dean Witter Reynold, Inc., hereinafter referred to as "Claimant": Kevin B. Walker, Esq., Bressler, Amery & Ross, Morristown, NJ. Respondent, Kevin Blackburn, hereinafter referred to as "Respondent": Brian J. Neville,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC, CASE:99-04258 David J. Cherry, claimant vs. Salomon Smith Barney, Inc. and Robert J. Schmidt, respondents. ATTORNEYS: Claimant David J. Cherry, appeared Pro-Se, Manasquan, NJ Respondent Robert J. Schmidt, appeared Pro-Se, Pittstown, NJ For respondent Salomon Smith Barney Inc. appeared, in house counsel, Ann Parry, Esq., New York, NY DATE FILED: September 16, 1999 CASE SUMMARY: Claim

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Steven Shapiro, Claimant v. Chris Hasselgren and Quick & Reilly, Inc., Respondents Case Number: 99-04257 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Scott L. Gilmore, Esq. Hill, Farrer & Burrill, LLP Los Angeles, California For Respondents: Brian McSherry, Esq. Quick and Reilly, Inc. New York, New York CASE INFORMATION Stat

Amended Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of Claimant The Zoe M. Gregg Trust UA dtd 2/27/92 Case No. 99-04256 Names of Respondents Mary Ann Logan n/k/a Mary Ann Finneran Sigma Financial Corporation Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For The Zoe M. Gregg Trust UA dtd 2/27/92, hereinafter referred to as "Claimant": David J. Baron, Esq., Fergeson, Skipper, Shaw, Keyser, Ba