Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Monica Hickey May and Catherine Margaret May, (Claimants) vs. Schroder & Co., Inc., (Respondent) Case Number: 99-01977 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimants, Monica Hickey May and Catherine Margaret May, hereinafter collectively referred to as "Claimants": Robert L. Rotmil, Esq., Glauberman Kessler & Rotmil, LLP, New York, NY. Respondent, Schroder & Co

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, nf the Claimants Patrick L. Chalmers Adriene D. Chalmers . Number: 99-01975 Name nf the Wheat First Securities, Inc. John E. Atkinson Hearing Sire: Baltimore, MD REPRESENTATION OF PARTIES Claimants Patrick L. Chalmers and Adriene D. Chalmers, hereinafter collectively referred to as "Claimants", were represented by John H. West, 131, Esq., West &

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Charles Schwab & Company, Inc. vs. Case No. 99-01963 Name of Respondent Zemedeneh Negatu REPRESENTATION OF PARTIES Claimant Charles Schwab & Company, Inc., hereinafter referred to as "Claimant*': Edmund V. Saucedo, Esq., Charles Schwab & Company, Inc., San Francisco, California Respondent Zemedeneh Negatu, hereinafter referred to as "Respondent" did not app

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Everen Securities, Inc, n/k/a First Union Securities, Inc. and Name of Respondent Thomas R. Kangas 99-01958 Minneapolis, Minnesota REPRESENTATION OF PARTIES Everen Securities, Inc. n/k/a First Union Securities, Inc. ("Claimant") was represented by Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Thomas R. Kangas ("Respondent"

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. Case No. 99-01953 Name of Respondent Olcott International Ltd. REPRESENTATION OF PARTIES For Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill"), hereinafter referred to as "Claimant": Keith Olin, Esq. and Bennett Falk, Esq. of Morgan Lewis & Bockius, LLP, Miami, Florida. *: For Olcott International Lt

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ethelmae Grothe, individually and as trustee of the Etheimae Grothe 1990 Trust, Claimant v. Sy Leavitt Company, Inc. n/k/a American Pacific Securities. Inc., Jack White & Company, Inc. n/k/a TD Waterhouse Investor Services. Inc., Centurion Capital Management. L.L.C., and Richard C. Johns, Respondents Case Number: 00-03504 Hearing Site: San Diego, California REPRESENTATION

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Wesley A. Smith ("Claimant") vs. LeRoy C. Kopp ("Respodent") Case Number: 99-01949 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Wesley A. Smith ("Smith"): Thomas M. Knepper, Esq., Knepper & Gladney, Chicago, (Illinois. Respondent LeRoy C. Kopp ("Kopp"): Steven Phillips, Esq., Forth & Anthony, Minneapolis, Minnesota. CASE INFORMATION Statement of Claim

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gary Niedert and Johanna Niedert, Claimants vs. Madison Capital Markets Corp., Vincent Napolitano and Michael Metter, Respondents. Case Number: 99-01947 Hearing Site: Milwaukee. Wisconsin REPRESENTATION OF PARTIES Claimants, Gary Niedert and Johanna Niedert (Niedert) (hereinafter referred to as "Claimants"), were represented by Michael H. Schaalman, Esquire of Quarles & Br

V*. Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant William Rex Waterall Trust Case No. 99-01943 Name of Respondent Discover Brokerage Direct, Inc. REPRESENTATION OF PARTIES For Claimant: Ronald D. Kelsay, Esq. of Carl A. Crow, Jr. & Associates, Hot Springs, AR. For Respondent: Robert T. Sullwold, Esq. of Sullwold & Hughes, San Francisco, CA. CASE INFORMATION Statement of Claim filed on or about: Apr

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01941 Dorothy L. McCafferty Trust, claimant vs. Prudential Securities, Inc., and Hank Mark Werner, respondents. ATTORNEYS: For Claimant Dorothy L. McCafferty Trust ("Claimant"), Charles W. Austin, Jr., Esq., Charles W. Austin, J.R., P.C., Richmond, Virginia. For Respondent Prudential Securities ("Prudential"), Joan L. Schwartz, Esq., in-house counsel for P