Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Paine Webber, Inc., Claimant v. Daoud D. Mshaka, Respondent Case Number: 99-04165 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Gregory E. Copeland, Esq. Paine Webber, Inc. Los Angeles, California For Respondent: Daoud D. Mshaka In Pro Per Inglewood, California CASE INFORMATION Statement of Claim filed: September 9, 1999

MARK D. B 1 OV09/fQOO 10:3li FAX NASD REGULATION P. 02 ©003/004 N.A.S.D, REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE; 99-04164 Charles Schwab & Company, Inc,, claimant vs. Bill Westerheide, respondent. ATTORNEY'S: For Claimant Charles Schwab and Company > Inc. ("Claimant"), Stephen Berkley, Esq., Goombecg, Kane & Fischer, Ltd., Chicago, 1L. Respondent Bill Westerheide ("Respondent") did not respo

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Jeffrey G. Priskie and Lisa Damon Evans Case No. 99-04163 Names of Respondents Prudential Securities, Inc. Teresa Oliva REPRESENTATION OF PARTIES For Jeffrey G. Priskie ("Priskie") and Lisa Damon Evans ("Evans"), hereinafter collectively referred to as "Claimants"; Jeffrey Erez, Esq. and Jeffrey R. Sonn, Esq., Mager and Sonn, Fort L

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants/Counter Respondents Ferris, Baker Watts, Inc. James G. Stahl Case No. 99-04155 Name of Respondent/ Counter Claimant BGS&G Investment Services, Inc. REPRESENTATION OF PARTIES Claimants James G. Stahl ("Stahl") and Ferris, Baker Watts, Inc. ("FBW"), hereinafter collectively referred to as "Claimants", were represented by Craig F. Ballew, Esq., of the

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant B.C. Ziegler and Company and 99-04153 Denver, Colorado Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Joel M. Block William Epping Larry D. Martin Annette K. Forney B.C. Ziegler and Company ("Claimant") was represented by Michael R. Wherry, Esq., Davis & Kuelthau, S.C., Milwaukee, Wisconsin. Merrill Lynch Pierce Fenner & Smith

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barbara D. Arner, Barbara D. Arner Trust, Barbara D. Arner, IRA, Claimants v. Everen Securities, Inc. n/k/a First Union Securities, Inc., Josef H. Snett, and JeffBouchard, Respondents Case Number: 00-05464 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: David S. Markun, Esq. Liner Yankelevitz Sunshine & Regenstreif LLP Santa Monica, California

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Jerimiah J. Hofer and La Thi Hofer and 99-04152 Scottsdale, Arizona Name of Respondent Charles Schwab & Company, Inc. REPRESENTATION OF PARTIES Jerimiah J. Hofer and La Thi Hofer ("Claimants") were represented by George R. Brown, Esq., Whitehall, Linden, Grynkewich & Halladay, Tucson, Arizona. Charles Schwab & Company, Inc. ("Respondent") was r

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant John Curington Case No. 99-04148 Names of Respondents Murphy & Durieu Mark Anthony Wild REPRESENTATION OF PARTIES For John W. Currington, hereinafter referred to as "Claimant": Raymer F. Maguire, III, Esq. of Pixel & Maguire, Orlando, FL. For Respondent Murphy & Durieu: Mark S. Gregory, Esq. of Kelley Drye & Warren LLP, New York, N.Y. Re

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Casey D. Carlton, (Claimant) vs. Dreyfus Brokerage Services, Inc., (Respondent) Case Number: 99-04146 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Casey D Carlton, hereinafter referred to as "Claimant": appeared pro se. Respondent, Dreyfus Brokerage Services, Inc., hereinafter referred to as "Respondent": Barry Asen, Esq., Roberts & Finger, LLP, New Yor

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04140 Merrill Lynch Pierce Fenner & Smith Inc., claimant vs. Empire Atlantic Capital Corp., respondent. ATTORNEYS: For claimant, Merrill Lynch, Pierce, Fenner & Smith Inc., appeared, Kathy D. Patrick Esq., of the firm, Gibbs & Bruns LLP, Houston, TX. Respondent Empire Atlantic Capital Corp., did not respond to the Statement of Claim. DATE FILED: September 8, 1999 CASE SUMMARY