Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John Kokshanian, Claimant v. Spectrum Securities, Inc. and John D. Hashimoto, Respondents Case Number: 99-00932 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Michael C. Murphy, Esq. Law Offices of Michael C. Murphy Burbank, California CASE INFORMATION Statement of Claim filed: February 19, 1999 Claimant's Uniform Submission Agre

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Jim Compton Case No. 99-00931 Names of Respondents Island Investment Services, Inc. Larry E. Wachtel REPRESENTATION OF PARTIES For Claimant Jim Compton ("Compton") hereinafter referred to as "Claimant": Lawrence L. Klayman, Esq. and Steven D. Toskes, Esq., Klayman and Lazarus, LLP, Boca Raton, Florida. For Respondents Island Investment Services,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name flf Claimant Ameritrade, Inc. Name of Respondent Douglas R. Colkitt NASD Case No. 99-00930 Hearing Location: Pittsburgh, PA REPRESENTATION OF PARTIES Claimant Ameritrade, Inc. ("Claimant"): Patrick B. Griffin, Esq., Kutak Rock, Omaha, Nebraska. Respondent Douglas R. Colkitt ("Respondent") did not appear. CASE INFORMATION Statement of Claim filed on: February 24

JAN 02 2001 Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Zahra Khiaban and Davoud Khiaban, Claimants v. First Allied Securities, Inc., Eric Baron and Anthony Galeotafiore, Respondents Case Number: 99-00929 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Paul W. Thomas, Esq. Paul W. Thomas & Associates — Carlsbad, California - '.i-i^ ',•'••.. f-._ ,'••-:• ^.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Antonio Oonato and Marilyn Donate, (Claimants) vs. Bear Stearns & Co., Inc. and Robert D. Zielke, (Respondents). Case Number: Hearing Site: 99-00927 Chicago, Illinois REPRESENTATION OF PARTIES Claimants, Antonio Donato ("A. Donate 71 ) and Marilyn Donato ("M. Donate"), hereinafter collectively referred to as "Claimants": Steven J. Rotunno, Esq., Kubasiak, Cremi

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Marian Kornicki, Claimant v. John Saffro and Morgan Stanley Dean Witter, Respondents Case Number: 99-00923 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Marian Komicki In Pro Per Los Angeles, California For Respondents: Janet Epstein, Esq. Morgan Stanley Dean Witter San Francisco, California CASE INFORMATION Statement of Claim receiv

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03364 Duli Mao & Yu Ma, Claimants vs. Charles Schwab Co., Inc., Respondent. ATTORNEYS: Claimants, Duli Mao and Yu Ma, ("Claimants"), appeared Pro Se, Sunnyvale, CA. Respondent, Charles Schwab Co., Inc., ("Respondent"), appeared through its in-house counsel, Mauricio S. Beugelmans, Esq., San Francisco, CA. DATE FILED: August 7, 2000. CASE SUMMARY: Claimants alleged that they purchas

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Judith F. Grogan Richard D. Funderburke Case No. 99-00915 Names of Respondents Salomon Smith Barney, Inc. Edward R. Doughty Name of Third Party Respondent John P. Funderburke REPRESENTATION OF PARTIES For Judith F. Grogan ("Grogan") and Richard D. Funderburke ("R. Funderburke"), hereinafter collectively referred to as "Claimants": F. D

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Olde Discount Corporation, Claimant v. Jerry L. St. John, Respondent Case Number: 99-00914 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Michael P. Knittel, Esq. Olde Discount Corporation Detroit, Michigan For Respondent: Jerry L. St. John In Pro Per Encinitas, California CASE INFORMATION Statement of Claim filed: February 26,1

AWARD NASD Regulation, Inc. CASE: 99-00904 Kenny Jr. Simpson, claimant vs. Waterhouse Securities, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se. - San Diego, CA. For Respondent appeared in-house counsel, Janis Campanella, Esq. - New York, NY. DATE FILED: March 1, 1999 CASE SUMMARY: Claimant alleged that respondent negligently executed the purchase of an IPO stock in claimant's online account. Claimant further alleged that respondent failed t