N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE:99-01814 Linda A. Mikesh, claimant vs. Prudential Securities and John Bud Larsen, respondents. ATTORNEYS: For Claimant Linda A. Mikesh, ("Claimant"), Charles W. Austin, Jr., Esq., Richmond, VA. For Respondents Prudential Securities, Inc., and John Bud Larsen, (Collectively "Respondents"), Marci B. Gold, Esq., Prudential Securities, Inc., New York, NY. DATE FILED

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. Case No. 99-01811 Name of Respondent Michael James Bock REPRESENTATION OF PARTIES For Prudential Securities, Inc. ("Prudential"), hereinafter referred to as "Claimant": Steven P. Gomberg, Esq. of Gomberg Kane & Fisher, Ltd., Chicago, Illinois. For Michael James Bock ("Bock"), hereinafter referred to as "Respondent": David M.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: John Dello Buono, (Claimant) vs. BT Alex Brown and Wall Street Access, (Respondents) Case Number: 99-01804 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant John Dello Buono, hereinafter referred to as "Claimant": Brian A. Carlis, Esq., Stark & Stark, Princeton, New Jersey. Respondents, BT Alex Brown, Inc. ("Alex Brown") and Wall Street Access ("WSA"), hereinafte

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01800 Anthony Federico, claimant vs. ICMA Retirement Corporation, respondents. ATTORNEYS: Claimant Anthony Federico ("Claimant"), appeared Pro Se.. Princeton, New Jersey. For Respondent ICMA Retirement Corporation ("Respondent"), Elizabeth Hoop Faye, Esq., Morgan, Lewis & Bockius LLP, Philadelphia, Pennsylvania. DATE FILED: April 19, 1999 CASE SUMMARY: Cla

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01799 Zion Sutton, claimant vs. E*Trade Securities, Inc., respondents. ATTORNEYS: Claimant, Zion Sutton, appeared Pro Se., Flushing, NY. Respondent, E*Trade Securities, Inc., appeared through Senior Compliance Analyst, Bob Salvador, Palo Alto, CA. DATE FILED: 04/19/99 CASE SUMMARY: Claimant alleged that respondent, E*Trade Securities, Inc., closed clai

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Robert Clauss v. Radcliffe St. Aubyn Bent Case Number: 99-1792 Hearing Site: Omaha, Nebraska REPRESENTATION OF PARTIES Claimant, Robert Clauss ("Clauss"), hereinafter referred to as "Claimant": pro se. Respondent, Radcliffe St. Aubyn Bent ("Bent"), hereinafter referred to as "Respondent": did not appear. Respondent was represented by Eric Hutner, Esq.,Trachtenberg& Rodes, LLP,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Edwin Broffman and Delia Broffman, Claimants v. PaineWebber, Inc., and Leonard B. Csiszar, Respondents Case Number: 99-01791 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Valerie F, Horn, Esq. Law Offices of Valerie F. Horn Beverly Hills, California For Respondents: Lisa K. Donahue, Esq. PaineWebber, Inc. Los Angeles, Califo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Fabian Basabe Case No. 99-01790 Names of Respondents J.W. Barclay &Co., Inc. John Anthony Bruno Anton Michael Brill REPRESENTATION OF PARTIES For Fabian Basabe ("Basabe 11 ), hereinafter referred to as "Claimant": Mark F. Raymond, Esq. of Tew Cardenas Rebak Kellogg Lehman Demaria & Tague, L.L.P., Miami, FL. For J.W. Barclay & Co., In

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thp r.lflimants r^e Number 99-01788 Taloreed Badmus BDS Technologies, Inc. Name nf the T?psponftent< ; Hearing Sitfi! Philadelphia, PA First Liberty Investment Group Chris Clem Steven Dapuzzo Anthony Giordano Christian L. Eminente a/k/a Luciano Eminente James O'Connor Harold Stice Mike Wallace REPRESENTATION OF PARTIES Claimants, Taloreed Badmu

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Stuart C. Sloame NASD Case No. 99-01787 Hearing Location: Washington, D.C. Name of Respondent Salomon Smith Barney Inc. REPRESENTATION OF PARTIES Claimant Stuart C. Sloame ("Claimant"): Claimant is an attorney, who was joined by his wife , Esq. Respondent Salomon Smith Barney, Inc. ("Respondent"): Joanne M. Chormanski, Esq. of Salomon Smith Barney, Inc.