Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Randall P. Cline vs. Smith Barney, formerly Smith Barney Shearson Case Number: 99-1410 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant Randall P. Cline, hereinafter referred to as "Claimant": Attorney Sharon Boelio, Esq., Kaplovitz and Associates, PC, Sylvan Lake, Michigan. Respondent Salomon Smith Barney, Inc. hereinafter referred to as "Respondent": James S. G

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01407 The Amy R. Roy 1994 Irrevocable Trust, claimant vs. John Staunton and Tucker Anthony, Inc., respondents. ATTORNEYS: For Claimant The Amy Roy 1994 Irrevocable Trust ("Claimant"), Jennifer L. Roy, trustee of the Irrevocable Trust Fund, Laconia, New Hampshire. For Respondents John Staunton ("Staunton") and Tucker Anthony, Inc. ("Tucker Anthony"), Patric

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tim A. Buscher, Claimant vs. Brent A. Patterson and Debi Hamel, Respondents. Case Number: 00-03450 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Tim A, Buscher, hereinafter referred to as "Claimant": Tim A. Buscher, First Allied Securities, Inc., Zephyr Cove, Nevada Respondents, Brent A. Patterson ("Patterson") and Debi Hamel ("HameJ"), herein

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Montauk Securities Corp., (Claimant) vs. John Knier, (Respondent) Case Number: 99-01406 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, First Montauk Securities Corp., hereinafter referred to as "Claimant": Lloyd S. Clareman, Esq., a sole practitioner, New York, NY. Respondent, John D. Knier, hereinafter referred to as "Respondent": appeared pro se.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: JOHN J, EGAN and COLLEEN D. EGAN, JTWROS, EGAN BUILDERS, INC., JOHN J. EGAN IRA/SEP, COLLEEN EGAN c/f SHEILA M. EGAN UGMA, COLLEEN EGAN c/f CONNOR J. EGAN UGMA, and COLLEEN EGAN c/f KRISTIN A. EGAN UGMA, Claimants vs. BEAR STEARNS & COMPANY and WILLIAM S. WATROUS Respondents CaseJNumber: 99-01396 Hearing Site: Chicago, Illinois REPRESENTATION OF PAR

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Subir K, and Suniti Bhattacharya Case'No. 99-01394 Name of Respondent E*Trade Securities, Incorporated REPRESENTATION OF PARTIES Claimants appeared pro se. For Respondent E*Trade Securities, Incorporated: John M. McKoy, III, Esq. of Bird, Marella, Boxer & Wolpert, Los Angeles, CA. CASE INFORMATION Statement of Claim filed on or about March 23, 1999

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Eric Adickes, Claimant v. Cruttenden Roth, Inc., Respondent Case Number: 99-01383 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Darren S. Enenstein, Esq. Enenstein, Russell & Saltz, L.L.P. Van Nuys, California For Respondents: Paul I. Hamada, Esq. Keesal, Young and Logan Long Beach, California CASE INFORMATION Statement of Claim

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Samantha Haimes Case No. 99-01379 Names of Respondents Advest, Inc. James Bernhard Gould Mary Elizabeth Ahlquist REPRESENTATION OF PARTIES For Claimant: Robert H. Rex, Esq. of Dickenson, Murdoch, Rex and Sloan, Boca Raton, FL. For Respondents Advest, Inc. ("Advest"), James Bernhard Gould ("Gould"), and Mary Elizabeth Ahlquist ("Ah

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Michael P. Gallo, Claimant vs. North Coast Securities Corporation and James W. Fuller, Respondents. Case Number: 99-01376 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Michael P. Gallo, hereinafter referred to as "Claimant": Frank P. Sarro, Esq., San Francisco, California Respondents, North Coast Securities Corporation ("NCSC") and James W. Fuller ("F

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Stephen and Amy Gionis Case No. 99-01371 Name of Respondent Robert W. Baird & Co. Incorporated REPRESENTATION OF PARTIES For Stephen and Amy Gionis, hereinafter collectively referred to as "Claimants": John F MacLerman, Esq. and Jon L. Swergold, Esq. of Smith Hulsey & Busey, Jacksonville, FL: For Robert W. Baird & Co. Incorporated, hereinafter ref