Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Alice Harris, f/k/a Alice Boykin, Claimant v. A. G. Edwards & Sons, Inc. and George Hill, Respondents Case Number: 99-01604 Hearing Site: Los Angeles, California For Claimant: For Respondents: REPRESENTATION OF PARTIES Mitchell J. Albert, Esq. Albert and Will, LLP Torrance, California Michael Naccarato, Esq. A. G. Edwards & Sons, Inc. St. Louis, Missouri

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01602 Richard A. Pozas, claimant vs. Brookstreet Securities Corporation and Donovan Morgan Lazar, respondents. ATTORNEYS: For Claimant Richard A. Pozas ("Claimant"), G. Mark Brewer, The Brewer Law Firm, La Jolla, California. Respondent Donovan M. Lazar ("Lazar"), appeared Pro Se., San Jose, California. For Respondent Brookstreet Securities Corporation ("Br

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Marion S. Friedman and Seeger-Fisher Family Limited Partnership and 99-01597 Minneapolis, Minnesota Name of Respondents Passport Securities, Inc. Pentad Securities, Inc. Grant Darrin Seeger REPRESENTATION OF PARTIES Marion S. Friedman and Seeger-Fisher Family Limited Partnership ("Claimants") were represented by Floyd E. Siefferman, Jr.,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lisa Walter, Ed Hanks, Hanwill Limited Partnership, Patricia Burbank, David S. Becker, Glen Burger, Henry F. Evans DMD Profit Sharing Plan, James Felt, James Seltzer, Rachel E. Seltzer UTMA/CA, Robert I. Seltzer UTMA, James M. Seltzer, M.D. Inc. PSP #1, James M. Seltzer, M.D. PSP #2, Emilie Spear, Claimants v, Sentra Securities Corporation, Robert Plomgren, Gregory Fitzpatrick, Re

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Arlene T. Rosengarten v. Oppenheimer & Co. and Gerry Nemetz Case Number: 99-01591 Heariqg Site: St. Louis, MO REPRESENTATION OF PARTIES Claimant, Arlene T. Rosengarten: Stuart R. Berkowitz, Esq., Platke and Berkowitz, L.L.P., St. Louis, MO. Respondents, CiBC Oppenheimer, Corp. and Gerry Nemetz: Joseph J. Sullivan, Esq., CIBC Oppenheimer Corp., New York, NY. CASE INFORM

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: National Securities Corporation, Claimant v, Scott Ehlers, Respondent, Case Number: 99-01590 Hearing Site: Las Vegas, Nevada (Conducted by Telephone) REPRESENTATION OF PARTIES National Securities Corporation: Patrick L. Hinton, Esq., Hinton & Roth, Truckee, California. Scott Ehlers: No Appearance. CASE INFORMATION Statement of Claim filed: March 24, 1999 Claimant,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David Jon Morrison, Claimant v. Janney Montgomery Scott, Inc., James S, Rochford, and Robert M. Cully, Respondents Case Number: 99-01587 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimant: Ryan K. Bakhtiari, Esq. Aidikoff&Uhl Beverly Hills, California For Respondents: Paula D. Shaffner, Esq. Saul, Ewing, Remick & Saul, LLP Philadelphia,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; DLJdirect Inc., (Claimant) vs. Daniel J, O'Halloran, (Respondent) Case Number: 00-03461 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, DLJdfrecf Inc., hereinafter referred to as "Claimant": Caroline K. Hall, Esq., Rosenman & Colin, LLP, New York, NY. Respondent, Daniel J, O'Halloran, hereinafter referred to as "Respondent", did not make an appearance

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Bruce R. Emerson Name of Respondent Quick & Reilly, Inc. Case No, 99-01585 REPRESENTATION OF PARTEES Claimant Bruce R. Emerson ("Emerson"), hereinafter referred to as "Claimant", appeared pro se. For Respondent Quick & Reilly, Inc. ("Q&R"), hereinafter referred to as "Respondent": Douglas S. Flaherty, Esq., Vice President and Brian McSherry, Esq., Regio

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: John Gauthier, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Dorothy M. Wenker and Ken LePori (Respondents). Case Number: 99-01583 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, John Gauthier, hereinafter referred to as "Claimant": Karen D. Smith, Esq., Wetzel, Henri & Drucker, LLP, Houston, Texas. Respondent, Merrill Lynch, Pierce, Fenner & Smith,