AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Ken Paul and Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Jack Becker 99-01319 Denver, Colorado REPRESENTATION OF PARTIES Ken Paul ("Claimant") appeared pro se. Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent MLPF & S") and Jack Becker ("Respondent Becker") were represented by William J. Manning, Jr., Esq., Merrill Ly

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Everen Securities, Inc., n/k/a First Union Securities, (Claimant) vs. Brett Matossian, (Respondent). Case Number: 99-01318 REPRESENTATION OF PARTIES Everen Securities, Inc., n/k/a First Union Securities hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Gomberg, Kane & Fischer, Chicago, Illinois, Brett W. Matossian hereinafter referred to as "Respondent": Katherine Hen

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Edward and Aida Reyes Case No. 99-01317 Names of Respondents Investors Street, Inc. Javier Saenz REPRESENTATION OF PARTIES Claimants Edward and Aida Reyes, hereinafter referred to as "Claimants" appeared pro se. For Respondents Investors Street, Inc. ("Investors Street") and Javier Saenz ("Saenz"): Jonathan E. Perlman, Esq. of Genovese Lichtman Joblov

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Charles W. Zimmermann and Betty W. Zimmermann, both individually and as Trustees of the Zimmermann Family Trust dated December 2, 1991, Claimants vs. Prudential Securities Incorporated and Mark Sloan, Respondents, Case Number: 99-01315 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimants, Charles W. Zimmermann and Betty W. Zimmermann, both individually and as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Beverly Blanos and Beverly Blanos IRA (Claimants) v. Matthew Zimmerman, Gibraltar Securities, Inc., Kirlin Securities, Inc., and Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. (Respondents) Case Number: 00-03416 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimants Beverly Blanos

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: William Allen Moss v. E*Trade Case Number: 99-1309 Hearing Site: Omaha, Nebraska REPRESENTATION OF PARTIES Claimant, William Allen Moss ("Moss"), hereinafter referred to as "Claimant": Gail E. Boliver, Esq., Boliver Law Firm, Marshalltown, Iowa. Respondent, E*Trade, hereinafter referred to as "Respondent": Paul S. Chan, Esq., Bird, Marella, Boxer & Wolpert, Los Angeles, Califo

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01306 Bertram Molow Revocable Trust, claimant vs. Jerome C. Kelter, respondent. ATTORNEYS: Claimant Bertram Molow Revocable Trust appeared through its trustee, Bertrum Molow, West Palm Beach, Florida. Respondent Jerome C. Kelter appeared Pro Se, West Palm Beach, Florida. DATE FILED: 03/15/1999 CASE SUMMARY: Claimant alleged Respondent did not provide sound

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01304 Everen Securities, Inc. claimant vs. James J. Engel, respondent. ATTORNEYS: For Claimant Everen Securities, appeared Diane C. Fischer, Esq., of the firm, Gomberg Kane & Fischer, Ltd., Chicago, IL. Respondent James J. Engel did not respond to the Statement of Claim. DATE FILED: 3/18/1999 CASE SUMMARY: Claimant alleged that on March 22, 1993 Respondent

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: William W, McCutcheru III, (Claimant) vs. The Madrid Group. Inc., Frank Madrid, David Laurent, and Fleet Clearing Corporation, (Respondents) Case Number: 99-01295 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, William W, McCutchen, III, hereinafter referred to as "Claimant": Nicholas Stevens, Esq., Starr, Gern T Davison & Rubin, P.C., Roseland, NJ

Award NASD Regulation, Inc. In the Matter of the ArDitratiorTBetween Stephen J. Courtney (Claimant) v. PaineWebber, Inc. and Brian T. McKee (Respondents) Case Number 99-01294 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Stephen J. Courtney ("Claimant"): James P. Donohue, Jr., Esq., Gilbride, Tusa, Last & Spellane LLC, New York, New York, Respondent, PaineWebber, Inc. ("PaineWebber"): Andrew J. Melnick, Esq., PaineWebber, Inc.