Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: RL Securities, Inc., Claimant v. U.S. Clearing Corporation, Respondent Case Number: 99-01748 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant RL Securities, Inc.; Paul W. Thomas, Esq. Law Offices of Paul W. Thomas & Associates San Diego, California For Respondent U.S. Clearing Corporation: Stephen Young, Esq. Keesal, Young & Logan Long

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, EMC. CASE:00-03487 Ernest A. Schroer, Jr. and Patricia M. Schroer Living Trust, claimant vs. PaineWebber Inc. and Mark Chenian, respondents. ATTORNEYS: Claimant appeared Pro Se, Northridge, CA. For Respondents appeared Lisa K. Donahue, Esq., in-house counsel, Los Angeles, CA. DATE FILED: August 11, 2000 CASE SUMMARY: Claimant alleged that respondents failed to timely execute a sell order of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Namfi nf the Claimant. Case Niimhftr 99-01747 Diane G. Devers Namgs nf the Respondents Hearing Site: Washington, D.C. Washington Investment Corporation Richard T, Barney Nature of the Dispute: Customer vs. Member and Associated Person. KFPRF.SPNTATTON OF PARTTRS Claimant, Diane G. Devers, hereinafter referred to as "Claimant", was represented by Paul N. Young, Securities

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Liberty Immigration Management Co., (Claimant) vs. E*Trade Securities, Inc., (Respondent) Case Number: 99-01746 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Liberty Immigration Management Co. ("Liberty"), hereinafter referred to as "Claimant": Richard C. Herbst, President, Liberty Immigration Management Co., West Palm Beach, FL. Previously represented by: Pilar

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Mary Francis Medaris, Michael A. Mills, Ralph Bown and George Bown, (Claimants) vs. A.G. Edwards & Sons, Inc. and Raymond "Buzz" Allen, Jr., (Respondents). Case Number: 99-01739 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimants, Mary Francis Medaris, Michael A. Mills, Ralph Bown and George Bown (collectively "Claimants"): William S. Shepherd, Esq. and Kirk G. Smith,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dan and Roberta Llewellyn, (Claimants) vs. E*Trade Securities, Inc., (Respondent) Case Number: 99-01736 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Dan and Roberta Llewellyn, hereinafter collectively referred to as "Claimants": C. Thomas Ludden, Esq., Lipson, Neilson, Jacobs & Cole, P.C., Troy, ML Respondent, E*Trade Securities, Inc., hereinafter refe

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01733 Jeanne L. Wilson, IRA, claimant vs. Joseph E. Klarberg, respondent. ATTORNEYS: Claimant Jeanne L. Wilson, IRA, ("Claimant"), appeared Pro Se., Rochester, New York. For Respondent Joseph E. Klarberg,("Respondent"), Nuviah Shirazi, Esq., Litigation Counsel for A.G. Edwards & Sons, Inc., St. Louis, Missouri. DATE FILED: 04/13/1999 CASE SUMMARY: Claimant

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01732 Bach Thanh and Hue Van Cao, claimant vs. Thomas F. White & Co,, Inc., respondent. ATTORNEYS: Claimants, Bach Thanh and Hue Van Cao, appeared Pro Se., Fremont, CA. Respondent, Thomas F. White & Co., Inc., appeared through its staff attorney, Michael Bolgatz, Esq., San Francisco, CA. DATE FILED: 4/13/99 CASE SUMMARY: Claimant alleged that respondent ac

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: James Timothy Peterson vs. Morgan Stanley Dean Witter, Inc. and Christopher W. Brooks Case Number: 99-1728 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, James Timothy Peterson ("Peterson"), hereinafter referred to as "Claimant": David M. Foster, Esq., Farmington Hills, Michigan. Respondents, Morgan Stanley Dean Witter, Inc. ("MSDW) and Christopher W. Brooks

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01727 John B. and Molly R. Barry, claimants vs. Ameritrade, Inc., respondent. ATTORNEYS: Claimants appeared Pro Se., Sugar Grove, NC. Respondent, appeared through its Vice President, James A. Rickets, Bellevue, NE. DATE FILED: 4/13/99 CASE SUMMARY: Claimants alleged mishandling by respondent of orders placed by claimants for purchases of shares of Navarre