AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Russ & Margo Wittenberg and Nancy Black and 99-01701 Scottsdale, Arizona Name of Respondents WJ. Gallagher & Company, Inc. William J. Gallagher Glenn Jackson Sione Tangen REPRESENTATION OF PARTIES Russ & Margo Wittenberg and Nancy Black ("Claimants") were represented by Richard G. Himelrick, Esq., Tiffany & Bosco, Phoenix, Arizona. WJ.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Anatoly and Anya Vinokurov Case No. 99-01699 Name of Respondents Alex Brown & Sons, Incorporated (n/k/a Deutsche Bane Alex. Brown, Inc.) Wall Street Access Hearing Location: Philadelphia, PA REPRESENTATION OF PARTIES Claimants Anatoly and Anya Vinokurov ("Claimants") were represented by Anatoly Vinokurov. Respondent Alex Brown & Sons Incorporat

t N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: #99-01694 Catherine Jones, claimant vs. Susan Pace, Northeast Securities, Inc., Bishop Rosen & Co., Inc.. Ladenburg Thalmann & Co., Inc., and Robert Thomas Securities, Inc.. respondents. ATTORNEYS: " For Claimant, appeared Lincoln Square Legal Services. Inc., New York. NY. For Respondent, appeared Susan Pace ("Pace") appeared pro se. For Respondent, Northea

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03485 PaineWebber Incorporated, Claimant vs. Randall Raner, Respondent. ATTORNEYS: Claimant appeared through its counsel, Romaine L. Gardner, Esq., Staten Island, NY. Respondent appeared Pro Se, Burlington, VT. DATE FILED: August 11, 2000 CASE SUMMARY: Claimant alleged that Respondent failed to pay the debit balance in his account before the account was transferred. Claim Data

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James M. Anderson, (Claimant) vs. Sauceda & Granville Securities, Inc., George Stambouli, Glen Pellone, and Peter Fox, (Respondents) Case Number: 99-01693 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, James M. Anderson ("Anderson"), hereinafter referred to as "Claimant": appeared pro se. Claimant was formerly represented by Robert Bertsch, Esq., Bertsch & Asso

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Stanley S. Bey, (Claimant) vs. J.B. Hanauer & Co, and John Kessler, (Respondents) Case Number: 99-01691 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Stanley S. Bey, hereinafter referred to as "Claimant": Edwin A. Zipf, Esq., Bressler, Amery & Ross, P.C., Florham Park, NY. Respondents, J.B, Hanauer & Co. ("Hanauer") and John Kessler ("Kessler"), hereinaf

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE:99-01686 Charles Schwab & Co. Inc., claimant vs. Stuart Appel, respondent. ATTORNEYS: For Claimant Charles Schwab & Co. Inc., ("Claimant"), appeared Edmund V. Saucedo, Esq. in-house counsel for Charles Schwab & Co. Inc., San Francisco, CA. For Respondent Stuart Appel, ("Respondent"), Stuart Appel did not respond to Claimant's Statement of Claim. DATE FILED: Ap

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01684 Chris Snyder and Sandra Snyder, claimants vs. Waterhouse Securities, Inc., respondent. ATTORNEYS: Claimants Chris Snyder and Sandra Snyder ("Claimants"), appeared Pro Se., Monroe, Ohio, For Respondent Waterhouse Securities, Inc. ("Respondent"), Janis Campanella, Esq., Assistant Counsel to Waterhouse Securities, New York, New York. DATE FILED: April 12, 1

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01683 David G. Counsell, claimant vs. Waterhouse Securities, Inc., respondent. ATTORNEYS: Claimant David G. Counsell ("Claimant") appeared Pro Se, Bainbridge, WA. Respondent Waterhouse Securities, Inc. ("Respondent") appeared through its First Vice President & Assistant Counsel, Janis Campanella, Esq., New York, NY. DATE FILED: 04/12/99 CASE SUMMARY: Claim

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Kevin and Marc Horton Case No. 99-01680 Names of Respondents Prudential Securities, Inc. Justin Weil REPRESENTATION OF PARTIES For Claimants Kevin and Marc Horton ("Horton"), hereinafter collectively referred to as "Claimants": Frank A. Lightmas, Jr., Esq. of the law firm of Lightmas & Delk, Atlanta, Georgia. For Respondents Prudential Securities,