Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Estelle Breslow Case No. 99-01026 Names of Respondents Salomon Smith Barney Inc. Peter Lane REPRESENTATION OF PARTIES For Claimant Estelle Breslow, hereinafter referred to as "Claimant": Jose I. Rojas, Esq. of Broad and Cassell, Miami, Florida. For Respondent Salomon Smith Barney, Inc. ("Smith Barney"): John Bevelaqua, Esq. of Salomon Smith Barney,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant May Davis Group, Inc. Case No. 99-01019 Name of Respondent Dick J. Bontatibus REPRESENTATION OF PARTIES For Claimant May Davis Group, Inc. ("MDG") hereinafter referred to as "Claimant": Adam L. Goldberg, Esq. of May Davis Group Inc, New York, New York. For Respondent Dick J. Bontatibus, hereinafter referred to as "Respondent": Stephen A. Mendelsohn, Esq

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants James M. May, III and Carolyn R. May, individually, and James M. May, III and Lewis W. May as Trustees of the James M. May Trust Case No. 00-03381 Names of Respondents Sterne, Agee & Leach, Inc. Thomas Newton Schallhorn Hearing Site: Little Rock, Arkansas REPRESENTATION OF PARTIES For James M. May, III ("James May") and Carolyn R. May

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: StockPro Corp., ("Claimant") vs. Preston Langley Asset Management, Inc. and Robert Lisnoff, ("Respondents") Case Number: 99-01017 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, StockPro Corp., hereinafter referred to as "Claimant": Edward K. Blodnick, Esq., Blodnick Gordon Blodnick & Zelin, Jericho, NY. Respondents, Preston Langley Asset Management, Inc. ("Pr

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: May Davis Group Inc., (Claimant) vs. J. Christopher Botero, (Respondent) Case Number: 99-01016 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, May Davis Group Inc., hereinafter referred to as "Claimant": Adam L. Goldberg, Esq., General Counsel, May Davis Group Inc., New York, NY. Respondent, J. Chistopher Botero, hereinafter referred to as "Respondent", di

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01012 Ram S. Bhatia and Kamlesh R. Bhatia Tic, claimants vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimants, Ram S. Bhatia and Kamlesh R. Bhatia Tic appeared Pro Se, Downingtown, PA For Respondent appeared, Robert J. McGahan, Esq. of the firm Bird, Marella, Boxer & Wolpert Los Angeles, CA DATE FILED: 03/05/99 CASE SUMMARY: Claimant alleged fail

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between ^ nf Claimants Bharat Das Agarwal, individually and Trustee of "the B.D. Agarwal, MD, Inc. Profit Sharing Plan and Trust and Agarwal Family Ltd. Partnership Case No. 99-01010 Olde Discount Corporation John K. Koczara Ernest J. Olde, Jr. Stanley A. Snider Daniel D. Katzman Hearing .Site: Washington, DC PFPRFSFNTATTON OF PARTTFS Claimants, Bharat Das A

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: LESLIE R. MEYER v. OLDE DISCOUNT CORPORATION AND RENEE D. MARONE Case Number: 99-01007 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Claimant, Leslie R. Meyer ("Meyer"), hereinafter referred to as "Claimant": Laurence S. Schultz, Esq., Driggers, Schultz & Herbst, Troy, Michigan Respondents, OLDE Discount Corporation ("OLDE") n/k/a H&R Block Financial

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jeff Stalvey, Claimant v. W. J. Gallagher & Co. Inc., William Joseph Gallagher, Lewis Akmakjian, and Brian Harry Money, Respondents Case Number: 99-01006 Hearing Site: Los Angeles, California For Claimant: For Respondents W. J. Gallagher & Co., Inc. and William Joseph Gallagher: For Respondent Lewis Akmakjian: For Respondent Brian Harry Money: Steve A. Buchwalter, Esq.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants RJ.K. Family Limited Partnership #1 and Richard Karam Case No. 99-01002 Names of Respondents Ferris, Baker Watts, Inc., H. Beck, Inc. and Ryan Lee & Co., Inc. REPRESENTATION OF PARTIES For Claimants R.J.K. Family Limited Partnership #1 ("R.J.K.") and Richard Karam ("Karam"), (hereinafter collectively referred to as "Claimants"): John G. Brown II, Esq.,