N.A.S.D, REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-00970 Dean Witter Reynolds, Inc., claimant vs. Brian Mercer, respondent. ATTORNEYS: For Claimant, Dean Witter Reynolds, Inc., appeared Diane C. Fischer, Esq. and Michael A. Kraft, Esq. of the firm Gomberg Kane & Fischer, LTD., Chicago, IL. Respondent, Brian Mercer, appeared Pro Se., Lexington, KY. DATE FILED: 03/04/99 CASE SUMMARY: Claimant alleged breach

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOJUTION CASE: 99-00969 Everen Securities, Inc.,, claimant vs. Frank Mithun, respondent. ATTORNEYS: For Claimant appeared Stephen S. Berkeley, Esq., of the firm Gomberg Kane & Fischer, Ltd., Chicago, IL. .,. , Respondent did not respond to the Statement of Claim. DATE FILED: March 4, 1S999 CASE SUMMARY: Claimant alleged that respondent, upon termination of his employment, failed to repay the balance o

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00968 Everen Securities, Inc., claimant vs. William David Wooldridge, Jr., respondent. ATTORNEYS: For Claimant Everen Securities, Inc. ("Claimant"), Diane C. Fischer, Esq., Goomberg, Kane & Fischer, LTD, Chicago, Illinois. Respondent William David Wooldridge ("Respondent"), did not respond to the Statement of Answer. DATE FILED: 03/04/99 CASE SUMMARY

Stipulated Award NASD Dispute Resolution Jnc. In the Matter of the Arbitration Between: Michael G. Gasservs. OLDE Discount Corporation, Gus Panos and Paul Manelis Case Number: 99-967 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant Michael G. Gasser("Gasser") was represented by Laurence S. Schultz, Esq. of Driggers, Schultz & Herbst, located in Troy, Michigan. Respondents, OLDE Discount Corporation ("OLDE"), Gus Panos ("Panos") and Pau

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03368 Leona Weiner, Claimant vs. Craig Oakes and Jeffrey Matthews Financial Group, LLC, Respondents. ATTORNEYS: Claimant Leona Weiner ("Claimant"), appeared Pro Se., New York, NY. For Respondents Craig Oakes and Jeffrey Matthews Financial Group, LLC, ("Respondents"), appeared Scott L. Fagin, Chief Compliance Officer, Millburn, NJ. DATE FILED: August 7, 2000 CASE SUMJ^ARY: Claim

Award NASD Regulation, Inc. in the Matter of the Arbitration Between: Eva R. Abers vs. Everen Securities, Inc., Carol Lee and David Walby. Case Number: 99-963 Hearing Site: Albuquerque, New Mexico REPRESENTATION OF PARTIES Claimant, Eva R. Abers ("Abers"), hereinafter referred to as "Claimant": Leonard J. Meyer, Esq., Zimmerman, Axelrad, Meyer, Stern & Wise, P.C., Houston, Texas. Respondents, Everen Securities, Inc., ("Everen"), Carol Lee ("Lee") and Da

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Mark A. Glass Case No. 99-00962 Names of Respondents Legg Mason Wood Walker, Inc. William H. Langeman REPRESENTATION OF PARTIES For Claimant Mark A. Glass, hereinafter referred to as "Claimant": Randall A. Smith, Esq. of the law firm of Smith, Jones & Fawer, L.L.P., New Orleans, Louisiana. For Respondents Legg Mason Wood Walker, Inc. ("Legg Mason") and

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mohammad Hamzeh v. Bear Stearns Securities Corporation and James Gallaer r Case Number: 99-959 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Claimant, Mohammad Hamzeh ("Hamzeh"), hereinafter referred to as "Claimant": David M. Foster, Esq., Farmingfon Hills, Michigan. Respondent, Bear Stearns Securities Corporation, hereinafter referred to as "BSSC": Phi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Steve A. Vivian v. OLDE Discount Corporation, Robert Thomas Armstrong, Jr. and Joseph Sheeran Case Number: 99-955 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, Steve A. Vivian ("Vivian"), hereinafter referred to as "Claimant": Laurence S. Schultz, Esq., Driggers, Schultz & Herbst, Troy, Michigan. Respondents, OLDE Discount Corporation, n/k/a H&R Block

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Estate of Kenneth T. Ralph Case No. 99-00953 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION OF PARTIES For Claimant: Delmer C. Gowing, III, Esq. of Delmer C. Gowing, HI, P.A., Delray Beach, FL. For Respondent: Kevin T. Duffy, Esq., Vice President and Counsel, Office of General Counsel, Merrill Lynch Private Client Group, N