Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Charles F. Walker Trust Charles F. Walker, IRA Hester Jane Walker, IRA Cathy Walker Charles F. Walker, Jr. & Harriet Walker JTWROS Case No. 99-01630 Names of Respondents Raymond James & Associates, Inc. Steve Florio Daniel Stewart REPRESENTATION OF PARTIES For Claimants: Earle Lee Butler, Esq. of Earle Lee Butler, P.A., Ft. Lauderdale, FL.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Anita Klein and the Anita Klein Ten-Year Trust, (Claimants) vs. Prudential Securities Inc. and Alan Sobelman, (Respondents) Case Number: 99-01629 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Anita Klein ("Klein") and the Anita Klein Ten-Year Trust ("Trust"), hereinafter collectively referred to as "Claimants": Stephen L. Klein, Esq., a sole practitione

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01625 Yolande Assad, claimant vs. Steven Schwartz and Werbel-Roth Securities, Inc., respondents. ATTORNEYS: Claimant Yolande Assad ("Claimant") appeared Pro Se., Woodside, New York. For Respondents Werbel-Roth Securities, Inc. ("Werbel-Roth") and Steven Schwartz ("Schwartz"), Niel S. Baritz, Esq., Dreier & Baritz, Boca Raton, Florida. DATE FILED: 04/07/1999

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01621 Dana B. Levine, IRA, claimant vs. Muriel Siebert & Co., Inc., respondent. ATTORNEYS: Claimant, Dana B. Levine, IRA appeared through Dana B. Levine, La Jolla, CA. Respondent appeared through its Senior Vice President, Kevin J. Kelly, New York, NY. DATE FILED: 04/07/99 CASE SUMMARY: Claimant alleged that respondent took more than one month to open an I

N.A.S.D, REGULATION AWARD NATIONAL ASSQC^4TTQN OF SECURITIES DEALERS JRE^TJL^ JION. CASE: 99-01615 Martin J, Schreiber and Elaine Schreiber, claimants vs. Prentice Securities, respondent. ATTORNEYS: Claimants Martin J, and Elaine Schreiber ("Claimants") appeared Pro Se., Milwaukee, Wisconsin. For Respondent Prentice Securities ("Respondent"), David J. Base, Esq., Cook & Franke. Milwaukee, Wisconsin. DATE FILED: 04/06/1999 CASE SUMMARY: Claimants

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01613 Gregory A. Rhoads, claimant vs. Ameritrade, Inc., respondent. ATTORNEYS: Claimant Gregory A. Rhoads ("Claimant") appeared Pro Se, Margate, NJ. For Respondent Ameritrade, Inc. ("Respondent") appeared in-house counsel James J. Vihstadt, Esq., Bellevue, NE. DATE FILED: 04/06/99 CASE SUMMARY: Claimant alleged that on January 8, 1999 Claimant called Ameri

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cataway, LLC (Claimant) v. Accutrade, Inc. and Advanced Clearing, Inc. (Respondents) Case Number: 00-03474 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Claimant Cataway, LLC ("Cataway") hereinafter referred to as "Claimant": Gregory A. Sioris, Esq., Sioris and Molumby, New York, NY. Respondents Accutrade, Inc. ("Accutrad

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Rochell P. Saunders and Scott Saunders, Claimants v. A.G, Edwards & Sons, Inc. and Paul David Neuner, Respondents Case Number: 99-01610 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Robert A. Uhl, Esq. Ryan K. Bakhtiari, Esq. Aidikoff&Uhl Beverly Hills, California For Respondents: William S. Port, Esq. A.G. Edwards &

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01608 Mai N. To, claimant vs. Walter WaiTak Light and d/b/a Light Securities, respondents, ATTORNEYS: Claimant, Mai N. To, appeared Pro Se., Oakland, CA. For Respondents, Walter WaiTak Light and d/b/a Light Securities, appeared Irving Pfeffer, Esq. of the firm Pfeffer & Williams, P.C., San Francisco, CA. DATE FILED: 04/06/99 ~ CASE SUMMARY: Claimant allege

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Trevor Resnick Michael and Bonnie Duchowny Allen and Susan Fuller Ronald Fieldstone Luis and Marielle Alvarez L.A.A.F., LLC Falcon Investments, Inc. Hyman and Lillian Resnick Arthur L. Diskin, M.D. Harari, Porter, Blumenthal and Brown M.D., P.A. Pension Plan Case No. 99-01607 Name of Respondent R.K. Grace and Co. REPRES