Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Cornerstone Securities Corp., (Claimant) vs. Russell Grigsby, David Randall Burch, David George Jamail, Kevin Burke (Respondents) Kevin Burke (Cross Claimant) vs. Case Number: 99-01000 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Cornerstone Securities Corp. ("Claimant"): were represented by Tom Thomas, Esq. and Marc Gulp, Esq.: Thomas & Gulp, L.L.P., Da

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: U.S. Pacific Financial Services, Inc., Claimant v. Margaret Hwang, Respondent. Case Number: 99-00999 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Robert S. Altagen, Esq. Law Office of Robert S. Altagen, PC Monterey Park, California For Respondent: Margaret Hwang ProSe Temple City, California CASE INFORMATION Statement of Claim f

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James R. & Cynthia Moriarty, Moriarty Litigation Group, Moriarty Education Trust & Moriarty Family Investment Partnership , LTD., (Claimants) vs. Edwin A. Allseitz Jr., Southwest securities, Inc., and SWS Financial, Inc., (Respondents). Case Number: Hearing Site: 99-00996 Houston, TX REPRESENTATION OF PARTIES James R. Moriarty, Cynthia Moriarty, Moriarty Litigation Group,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mark Schneider, Claimant vs. Charles Schwab & Co., Inc., Respondent. Case Number: 00-03373 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Thomas D. Mauriello, Esq. San Rafael, California For Respondent: Steve Murphy, Esq. Charles Schwab & Co., Inc. San Francisco, California CASE INFORMATION Statement of Claim filed on or about

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 99-00992 Joel Withrow Name of the Respondent Hearing Site: Houston, Texas Madison Capital Markets Corporation, Antonio Raimo, Robert F. Ryder, Jr., Lawrence A. Zelin, Michael Lee Metter, and Dalton Kent Securities Group, Inc. Claimant Joel Withrow hereinafter referred to as "Claimant": Reagan D. Pratt, Esq., Clements, O'Neil, Pierce & Ni

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Gateway Partners, LLC and Name of Respondent Keith Kozel Case Number 99-00987 REPRESENTATION OF PARTIES For Gateway Partners, LLC ("Claimant") appeared Andrew P. Weiss, Esq., a sole practioner, located in New York, New York. For Keith Kozel ("Respondent") appeared Ted Poretz, Esq., of the law firm Richards & O' Neil, LLP, located in New York, Ne

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Peter V. Christiansen, (Claimant) vs. Craig Moss and PaineWebber Inc., (Respondents) Case Number: 99-00982 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Peter V. Christiansen, hereinafter referred to as "Claimant", appeared pro se. Respondents, Craig Moss ("Moss") and PaineWebber Inc. ("PaineWebber"), hereinafter collectively referred to as "Respondents"

Award NASD Regulation. Inc. In the Matter of the Arbitration Between: Jerrold S. Parker, (Claimant) vs. Providential Securities. Inc., Andrew Shoemaker, and The Manhattan Group (Respondents) Case Number: 99-00977 Hearing Site; New York, NY REPRESENTATION OF PARTIES Claimant, Jerrold S. Parker, hereinafter referred to as "Claimant" appeared pro se. Respondent, Providential Securities. Inc. ("Providential") did not enter an appearance in this matter.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Sujit Kumar, ("Claimant") vs. Renaissance Financial Securities Corp., Mitchell Van Doff, Adam Cohen, and Schroder Wertheim & Co., Inc., ("Respondents") Case Number: 99-00974 Hearing Site: Boston, MA REPRESENTATION OF PARTIES Claimant Sujit Kumar, hereinafter referred to as "Claimant": Miles E. Hoisington, Esq., sole practitioner, Westport, MA. Respondent Schroder Wertheim & Co., I

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: David I. Oppenheim, ("Claimant") vs. Salomon Smith Barney, Inc., Paul J. Stubbs, and Christopher Dietz, ("Respondents") Case Number: 99-00972 Hearing Site: Boston, MA REPRESENTATION OF PARTIES Claimant, David I. Oppenheim, hereinafter referred to as "Claimant": Conway T. Dodge, Esq., Rubin and Rudman LLP, Boston, MA. Respondents, Salomon Smith Barney, Inc. ("Smith Barney"), Paul J