N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01480 Crary E. Grattan, claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., respondent ATTORNEYS: Claimant Crary E. Grattan appeared Pro Se, Okemos, Michigan. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc., appeared in-house counsel, Christopher D. Cavouti, Esq., New York, New York. DATE FILED: 03/26/1999 CASE SUMMARY: Claimant alleged th

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Sal D. Cianella, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Inc., Respondent Case Number: 00-03453 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: William P. Torngren, Esq. Law Offices of William P. Torngren Sacramento, California For Respondent: Eric J. Glassman, Esq. Menrierneier, Glassman &. Stroud, LLP Sacramento; California

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: David C. Kauffman, Claimant v. E*Trade Securities, Inc. and Peter M. Szydlowski, Respondents. Case Number: 99-01470 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: David C. Kauffman In Pro Per Sherman Oaks, California For Respondents: John M. McCoy, III, Esq. Bird, Marella, Boxer & Wolpert Los Angeles, California CASE INFORMATION

04/17/01 TUB 00:05 FAI 14153817728 KY&L SF ©002 1 2 3 4 5 6 7 S 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 23 Peter R. Boutin, CASE No. 65261 KEESAL, YOUNG & LOGAN A Professional Corporation Four Embarcadero Center, Suite 1500 San Francisco, California 94111 Telephone: (415) 398-6000 Facsimile: (415)981-0136 RECEIVED A

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Roger W. Kroschel, (Claimant) vs. Corporate Securities Group, J.W. Charles Clearing Corporation n/k/a JW Genesis Clearing Corporation and Morris W. Dante (Respondents). Case Number: 99-01464 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Roger W. Kroschel, hereinafter referred to as "Claimant": John A. Schmidt, Esq., The Law Offices of John A. Schmidt, P.C., Hous

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Edward G. Dietrich and 99-01448 Scottsdale, Arizona Name of Respondents CIBC Oppenheimer, a division of CISC World Markets Corp. Donald B.GieUo REPRESENTATION OF PARTIES Edward G. Dietrich ("Claimant") was represented by David C. Anson, Esq., DeConcini McDonald Yetwin & Lacy, Tucson, Arizona. CIBC Oppenheimer, a division of CIBC World Markets Corp.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Elizabeth James and Sarah James Trust, (Claimant) vs. Charles W. Hooper, Jr. Owen-Joseph Securities, Inc., et. al. (Respondents). Case Number: 99-01447 Hearing Site: Denver, Colorado REPRESENTATION OF PARTIES Claimants, Elizabeth James and Sarah James Trust ("Claimants"): Steven M. Feder, Esq., Smith McCullough, P,C., Denver, CO. Respondents, Owen Joseph Securities, Inc. and Owen-

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01436 Ira Weil, claimant vs. Fidelity Investments, respondent. ATTORNEYS: Claimant Ira Weil ("Claimant"), appeared Pro Se., New York, New York. For Respondent Fidelity Investments, ("Respondent"), Richelle S. Kennedy, Esq., FMR Corp. Legal Department, Boston, Massachusetts. DATE FILED: 3/25/1999 CASE SUMMARY: Claimant maintained that he was solicited by Re

AWARD NASD Regulation, Inc. ITI the Matter of the Arbitration Between Ngmp of Claimants Leslie A, and Howard L. Farkas and Name of Respondents Joseph Stevens & Company, inc. Harry S. Datys Joseph Sorbara 99-01435 Denver, Colorado O PARTIES Leslie A. and Howard L. Farkas ("Claimants") were represented by John F. Head, Esq., Denver, Colorado. Joseph Stevens £ Company, Inc. ("Respondent Joseph Stevens"), Harry S. Datys ("Respond

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Charles Schwab & Co., Inc., Claimant vs. Dale Haberman' Respondent. Case Number: 99-1433 Hearing Site: Detroit Michigan REPRESENTATION OF PARTIES Claimant, Charles Schwab & Company, Inc., hereinafter referred to as "Claimant": Richard A. Karoly, Esq., Charles Schwab & Company, Inc., San Francisco; California. Respondent, Dale Haberman, hereinafter referred to as "Respondent": did not