Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Evgeny SwarovskL Claimant v, Charles Schwab & Co., Inc., Respondent Case Number: 00-03343 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Evgeny Swarovski In Pro Per San Diego, California For Respondent: Curt H. Mueller, Esq. Charles Schwab & Co., Inc. San Francisco, California CASE INFORMATION Statement of Claim filed: August 3,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Alexander & Alexander Services, Inc., (Claimant) vs. J.P. Morgan Securities, Inc. and Joseph Warwick, (Respondents) Case Number: 99-00781 Hearing Site: New York, New York REPRESENTATION OF PARTIES -.;;;«- •• ^^W0^3M^M^^^MMB^*n»^^K^B^M^HB^^MB^^aKMS Claimant, Alexander & Alexander Services, Inc., hereinafter referred to as "Claimant": Robert J. Hausen, Esq., Robert J. Hausen

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant CliffS. Golob Case No. 99-00778 Name of Respondent Great Western Financial Securities Corporation n/k/a WM Financial Services, Inc. REPRESENTATION OF PARTIES For CliffS. Golob ("Golob"), hereinafter referred to as "Claimant": Marc S. Dobin, Esq. and Debra A. Jenks, Esq. of the law firm of Dobin & Jenks, LLP, Jupiter, Florida. For Grea

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00773 Access Financial Group, Inc., claimant vs. John Vazaois and William S. Platt, respondents. ATTORNEYS: Claimant, Access Financial Group, Inc. ("Access Financial"), appeared through its in-house counsel, Andrew May, Esq., Chicago, IL. Respondent, William S. Platt ("Platt"), appeared Pro Se., Boca Raton, FL. Respondent, John Vazaois ("Vazaois"), did not res

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00772 Joseph O. Udeh, claimant vs. Charles Schwab & Co., Inc., respondent. ATTORNEYS: Claimant Joseph O. Udeh appeared Pro Se., San Jose, California. For Respondent Charles Schwab & Co., Inc., appeared in-house counsel, Sean B. Meehan, Esq., San Francisco, California. DATE FILED: 2/22/1999 CASE SUMMARY: Claimant alleged that he incurred losses as a result

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-00771 A. A. Friedman., claimant vs. Quick and Reilly, Inc., respondent. ATTORNEYS: For Claimant appeared Todd M. Sloan, Esq. of Law Offices of Todd M. Sloan, Malibu, CA. Respondent appeared through its Vice President, Douglas S. Flaherty, Esq. DATE FILED: 02/22/99 CASE SUMMARY: Claimant alleged respondent wrongfully disseminated information that claimant's

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Richard Sugarman, (Claimant) vs. Salomon Smith Barney Inc., (Respondent) Case Number: 99-00769 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Richard Sugarman ("Sugarman"), hereinafter referred to as "Claimant": Robert A. Harris, Esq., Zeldes, Needle & Cooper, Bridgeport, CT. Respondent, Salomon Smith Barney Inc. ("Salomon"), hereinafter referred to as "Re

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Robert and Laura Coleman Joseph R. Fox Case No. 99-00768 Name of Respondents Klein, Maus & Shire, Inc. Mohammed A. Khan Asim S. Kohli Martin Berk (a/k/a Martin Burke) Naseeruddin Mahmood David M. Weeks REPRESENTATION OF PARTIES Claimants, Robert Coleman ("R. Coleman"), Laura Coleman ("L. Coleman") and Joseph R. Fox ("Fox"), here

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants') TLC Precision Wafer Technology, Inc. and Timothy Childs and 99-00762 Minneapolis, Minnesota Name of Respondents Sterling Foster & Company, Inc. Adam Lieberman Michael R. MacCaull REPRESENTATION OF PARTIES TLC Precision Wafer Technology, Inc. and Timothy Childs ("Claimants") were represented by David P. Pearson, Esq., Winthrop & Weinstine,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Carl Jansen, (Claimant) v. A.S. Goldmen & Company, Inc., Anthony J. Marchiano, Salvatore C. Marchiano, Stuart E. Winkler, Michael A. Dietz, and Everen Clearing Corp. a/k/a BNY Clearing, (Respondents) Case Number: 99-00760 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Carl Jansen ("Jansen"): Leslie A. Blau, Esq. and Mitchell Goldberg, Esq., Blau & B