Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Stephen D. Rosenbaum Case No. 99-01832 Name of Respondents Imperial Capital, LLC Eloise J. Rich Hearing Location: Baltimore, MD REPRESENTATION OF PARTIES At the hearing Claimant Stephen D. Rosenbaum ("Claimant") represented himself and was also represented by Mr. Howard Cardin, Esq., Baltimore, MD. Respondents Imperial Capital, LLC ("Imperia

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant The Estate of Loni Wilker Case No. 99-01828 Name of Respondents Joseph A. Schifano Daniel F. McCorry Money Talks, Inc. Schifano-McCorry Associates Hearing Site: Philadelphia, PA REPRESENTATION OF PARTIES Claimant, the Estate of Loni Wilker ("Claimant"): Harry Jay Levin, Esq. and Colleen Flynn Cyphers, Esq. of the law firm of Levin & Cyph

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Larry Giebenrath, Claimant v. Charles Schwab & Co., Inc., Respondent. Case Number: 99-01827 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Larry E. Giebenrath In Pro Per San Diego, California For Respondent: Steve Murphy, Esq. Charles Schwab & Co., Inc. San Francisco CASE INFORMATION Statement of Claim filed: April 20, 1999 Claimant

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-01825 Joseph W. Giovengo f/b/o Giovengo Children Trust, claimant vs. Smith Barney Hams Upham & Co., Inc. and Vincent P. Afflixio, Jr., respondents. ATTORNEYS: Claimant appeared Pro Se, Northport, NY. For Respondents appeared Ann Parry, First Vice President and Associate General Counsel of Salomon Smith Barney, New York, NY. DATE FILED: April 20, 1999 CASE SUMMARY: Claimant alle

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01824 Dilys Huang, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant, Dilys Huang, appeared Pro Se., San Marino, CA. Respondent, E*Trade Securities, Inc., appeared through Senior Compliance Analyst, Bob Salvador, Palo Alto, CA. DATE FILED: 04/20/99 CASE SUMMARY: Claimant alleged that E*Trade Securities, Inc.'s on-line trading system

I N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01823 Dilys Huang, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant Dilys Huang ("Claimant"), appeared Pro Se., San Marino, California. For Respondent E*Trade Securities ("Respondent"), Bob Salvador, Senior Compliance Analyst, Palo Alto, California. DATE FILED: 4/20/1999 CASE SUMMARY: Claimant maintained that on December 7, 1998

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Fred E. White, Jr. Case No. 99-01821 Names of Respondents Maidstone Financial, Inc. Darin Pankin Mike Newman John Palermo John Hopf Hearing Site: New Orleans, Louisiana REPRESENTATION OF PARTIES For Fred E. White, Jr. ("White"), hereinafter referred toas "Claimant": Philip E. Downer; HI; Esq. of Downer, Kyle & Wilhite, L.L.C., Shfeve

Award NASD Dispute Resolution, luc. In the Matter of the Arbitration Between Names of Claimants Sherrie S. and John E. Rieber Case No, 99-01818 Names of Respondents Gregory L. Luken Wiley Bros.-Aintree Capital, LLC REPRESENTATION OF PARTIES For Sherrie S. and John E. Rieber ("Rieber"), hereinafter collectively referred to as "Claimants": Steven J. Card, Esq. of the law firm of Page, Gard, Smiley & Bishop, LLP, Atlanta, Georgia. For G

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David R. and Patricia Kiehn, Claimants vs. Whale Securities Co., L.P. and Semos Kostidakis, Respondents; and Whale Securities Co., L.P., Third-Party Claimant vs. SG Cowen Securities Corporation, Third-Party Respondent. Case Number: 99-01815 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES Claimants, David R. and Patricia Kiehn, hereinafter referred to as "Claimants"

Award NASD In the Matter of the Arbitration Between: Names of the Claimants George St. John and Diane St. John Name of the Respondent Clive Cholerton Case Number: 00-03494 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For George St. John and Diane St. John, hereinafter collectively referred to as "Claimants": Russell L. Forkey, Esq., Russell L. Forkey, P.A., Ft. Lauderdale, Florida. For Clive Cholerton, hereinafter referred