N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02101 Charles Schwab & Co., Inc., claimant vs. James L, McLaughlin and JMJ Capital Corporation, respondents. ATTORNEYS: For Claimant appeared Stephen S. Berkley, Esq., Diane C. Fischer, Esq., and Linda A. Gallagher, Esq., of the firm Gomberg Kane & Fischer, Ltd. Respondents, James L. McLaughlin and JMJ Capital Corporation, did not enter appearances in this

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Dorothy Wardlow (Claimant) vs. Bear Stearns Securities, Corp., John Dawson & Associates, Inc., and Derrick Hardin Case Number: 99-02099 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Dorothy Wardlow ("Wardlow"): Christopher Bargione, Esq., Collins & Bargione, Chicago, Illinois. Respondent Bear Stearns Securities Corp.: Darya Geetter, Esq., Bear Stearns Securiti

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Gary M. Hock Case No. 99-02093 Name of Respondent Prudential Securities, Inc. REPRESENTATION OF PARTIES For Gary M. Hock ("Claimant"): George C. Covington, Esq. of the law firm of Kennedy, Covington, Lobdell & Hickman, L.L.P., Charlotte, North Carolina. For Prudential Securities, Inc. ("Respondent"): James P. McLoughlin, Jr., Esq. of the law

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Jeanette Maranto Case No. 99-02091 Names of Respondents Steven J. Buras Bane One Securities Corp. f/k/a Marquis Investments, LLC REPRESENTATION OF PARTIES For Jeanette Maranto, hereinafter referred to as "Claimant": Craig S. Sossaman, Esq. of Harvin & Sossaman, Metairie, LA. For Respondent Steven J. Buras, hereinafter referred to as "Buras"

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03517 Joseph Camardese, claimant vs. State Capital Markets Corp. and Damien Douglas, respondents. ATTORNEYS: Claimant appeared Pro Se, Rockville, MD. For Respondent Damien Douglas appeared William E. Denver, Esq., of the firm Robertson, Freilich, Bruno & Cohen, LLC, Newark, NJ. Respondent State Capital Markets Corp. was not served a copy of the Statement of Claim. DATE FILED: Augus

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Steven G. Seif, DDS, (Claimant) vs. Discover Brokerage Direct, Inc., James Oerther, Jose Contin, and Tad Ravazzini (Respondents) Case Number: 99-02085 Hearing Site: Albany, New York REPRESENTATION OF PARTIES Claimant, Steven G. Seif, DDS, hereinafter referred to as "Claimant", appeared pro se. Respondents, Discover Brokerage Direct, Inc. ("Discover"), James Oerther ("Oerther")

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lillian Dworkin, (Claimant) vs. Prudential Securities, Inc. and Marilyn Falls, (Respondents) Case Number: 99-02081 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Lillian Dworkin, hereinafter referred to as "Claimant**: Adolph D. Seltzer, Esq., a sole practitioner, New York, NY. Respondents, Prudential Securities, Inc. ("Prudential") and Marilyn Falls ("Fa

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jerold Livingston and Lenora Livingston, Trustees for the Benefit of the Livingston Trust, Claimants vs. Morgan Stanley Dean Witter, Gregory Vaughn and Daniel Weiner, Respondents. Case Number: 99-02075 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimants, Jerold Livingston and Lenora Livingston, Trustees for the Benefit of the Livingston Trust, (hereinafter collectively

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Charles Schwab & Co. Inc. Claimant v. David Eugene Wayne, d.b.a. Spainer Investment Co., Respondent. Case Number: 99-02073 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Richard A. Karoly, Esq. Charles Schwab & Company, Inc. San Francisco, California For Respondent: Did Not Appear CASE INFORMATION Statement of Claim filed: May 4, 1999

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-02071 Robert Maylan, claimant vs. Michael Freeman, Andrea Ratkowski and Freeman Welwood & Co., Inc., respondents. ATTORNEYS: Claimant appeared Pro Se., Seattle, WA. Respondents appeared through Andrea Ratkowski, Vice President of Freeman Welwood & Co., Inc. DATE FILED: May 4, 1999 CASE SUMMARY: Claimant alleged that respondents verbally and through written confirmation sold