Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Legacy Securities Corp. Case No. 99-01370 Name of Respondent Clear Communications Group, Inc. REPRESENTATION OF PARTIES For Claimant Legacy Securities Corp. ("Legacy"), hereinafter referred to as "Claimant": Michael J. King, Esq. and Robert E. Spears, Jr., Esq. of the law firm of Minkin & Snyder, P.C., Atlanta, Georgia. For Respondent Clear Communicatio

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Weiss, Peck & Greer, L.L.C., (Claimant) vs. Sherwood Securities Corp., (Respondent) Case Number: 99-01368 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Weiss, Peck & Greer, L.L.C., hereinafter referred to as "Claimant": David B. Tulchin, Esq., Sullivan & Cromwell, New York, NY. Previously represented by: Robert M. Abrahams, Esq., Schulte Roth & Zabel LLP,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Southwest Securities Inc. Claimant, Vs. Weber Investment Corporation and Garry A, Weber Respondents. Case Number: 00-03428 Hearing Site: Dallas. Texas REPRESENTATION OF PARTIES Claimant, Southwest Securities Inc. ("Southwest"): Peter D. Wolfson, Esq. and Arthur H. Ruegger, Esq. of the firm Pryor Cashman Sherman & Flynn LLP, New York, New York. Respondents,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Fidelity Brokerage Services, Inc. Claimant vs. Jeffrey Lane Michaels and Leslie Jean Michaels, Respondents. Case Number: 00-00356 Hearing Site: Via Teleconference REPRESENTATION OF PARTIES Claimant, Fidelity Brokerage Services, Inc. (hereinafter referred to as "Claimant": Laurence K. Richmond, Esq., Laurence K. Richmond & Associates, P.C., Greenleaf Building, 1419 Hanock S

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: #99-01361 Ira Malkin, claimant vs. Muriel Siebert & Co., Inc., respondent. ATTORNEYS: Claimant, Ira Malkin, appeared Pro Se, New York, NY. Respondent appeared through its Senior Vice President, Kevin J. Kelly, New York, NY. DATE FILED: March 17, 1999 CASE SUMMARY: Claimant alleged that he placed a stop order to sell 3,600 shares of EBAY, if it fell to 161. Re

NASD REGULATION, INC. STIPULATED AWARD In the Matter of the Arbitration Between Name of Claimant Bruno Tamplenizza, NASD #99-01360 Name of Respondents Josephthal & Co., Inc. Kenneth Disbrow Dan Purjes REPRESENTATION OF PARTIES Bruno Tamplenizza ("Claimant") was represented by Jonathan Berg, Esq. of the Law Offices of Jonathan Kord Lagemann New York, New York. Josephthal & Co., Inc., ("Respondent Josephthal") Kenneth Disbrow, ("Re

Consent Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gregg A. Kail, (Claimant) vs. Prudential Insurance Company of America, Inc. and Frank A. Ciambrone, Jr. (Respondents) Case Number: 99-01359 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Gregg A, Kail, hereinafter referred to as "Claimant": James F. Keegan, Esq., Bendit Weinstock, West Orange, NJ. Respondents, Prudential Insurance Company of A

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01356 James J. Godfrey, claimant vs. Faye Saville and Jason Kurchner, respondents. ATTORNEYS: Claimant, James J. Godfrey, appeared Pro Se., Huntington, NY. Respondents, Faye Saville and Jason Kurchner, appeared through Patricia B. Ryan, Esq. of the firm Law Offices of Alan I, Lamer, Elmsford, NY. DATE FILED: 3/22/99 CASE SUMMARY: Claimant alleged that resp

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01354 Philip J. Schutte, claimant vs. Philip E. Steele. respondent. ATTORNEYS: Claimant Philip J.. Schutte appeared Pro Se., Oak Park, Illinois, Respondent Philip E, Steele appeared Pro Se., Los Angeles. California. DATE FILED: 3/22/1999 CASE SUMMARY: Claimant alleged that Respondent tailed to pay commissions owed to him. Claim Data Award Data Claim: 5

I N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01353 Steven Satori, claimant vs. Advest, Inc. and Michael A. Solomon, respondents. ATTORNEYS: Claimant Steven Satori ("Claimant") appeared Pro Se., Lakeport, California. For Respondent Advest, Inc. ("Advest"), appeared in-house counsel, Barry J. Kronemer, Esq., Hartford, Connecticut, Respondent Michael A. Solomon ("Solomon") did not respond to the State