Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Reid Breitman, Claimant v. E*Trade Secunues. Inc., Respondent Case Number: 00-03324 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Jonathan Schwartz, Esq. Law Offices of Jonathan Schwartz Marina Del Rey, California For Respondent: Mark T. Brooks, Esq. Bird, Marella, Boxer & Wolpert Los Angeles, California CASE INFORMATION Stat

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Thomas Sherck and Tami White, Claimants vs. Lissa Searfoss and Royal Alliance Associates, Inc., Respondents. Consolidated Case Numbers: 99-00645 & 99-00686 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimants, Thomas Sherck ("Sherck") and Tami White ("White"), hereinafter collectively referred to as "Claimants": Linda Stoick, Esq., San Francisco, California

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Steven A. Kalin and Janice Kalin and 99-00644 Name of Respondents First Asset Management, Inc. Anthony James Ustica Leonard A. Neuhaus Phillip O. Gullo REPRESENTATION OF PARTIES Steven A. Kalin and Janice Kalin ("Claimant") was represented by Floyd E. Siefferman, Jr., Esq., Saliterman & Siefferman, P.C., Minneapolis, Minnesota. First Asset Mana

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Jack Modzelewski and Susan Kiner and 99-00641 Chicago, Illinois Name of Respondents PaineWebber, Inc. Terry Lee Phillips REPRESENTATION OF PARTIES Jack Modzelewski and Susan Kiner ("Claimants") were represented by Stuart R. Berkowitz, Esq., Platke and Berkowitz, L.L.P., St. Louis, Missouri. PaineWebber, Inc. ("Respondent PaineWebber") a

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00634 Daniel S. Hoshiyama and Tom T. Hoshiyama, claimants vs. Olde Discount Corporation and Keith Campbell, respondents. ATTORNEYS: Claimants, Daniel S. Hoshiyama and Tom T. Hoshiyama, appeared Pro Se., San Francisco, CA. For Respondents, Olde Discount Corporation and Keith Campbell, appeared Donald P. Wray, Jr., Detroit, MI. DATE FILED: 02/12/99 CASE

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-00633 N. Tom Azhdam, claimant vs. Fidelity Brokerage Services, Inc., respondent. ATTORNEYS: Claimant N. Tom Azhdam, appeared Pro Se., Rockville, Maryland. Respondent Fidelity Brokerage Services, Inc., appeared through its Product Manager, Melissa Maloney, Boston, Massachusetts. DATE FILED: 02/12/1999 CASE SUMMARY: Claimant alleged that on December 1, 1998,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-00632 Joyce Tarnow, claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., respondent. ATTORNEYS: Claimant, Joyce Tarnow, appeared Pro Se., Pompano Beach, FL. For Respondent, Merrill Lynch, Pierce, Fermer & Smith, Inc , appeared in house counsel Michael E. Chasen, Esq., New York, NY. DATE FILED: 02/12/99 CASE SUMMARY: Claimant alleged high risk security

Award NASD Regulation, Inc, In the Matter of the Arbitration Between: Gino S. Vassalle (Claimant) vs. Tom O'Connor and William P. Larkman (Respondents). Case Number: 99-00621 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Gino S. Vassalle referred to as ("Claimant"}: Steele Williams, Esq., Groener, Schieb, & Williams, Sarasota, Florida. Respondents Tom O'Connor ("O'Connor") and William P. Larkman ("Larkman"): Curtis M. Jacobs, Es

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Greg and Dawn Dannette Seitz Seitz Management, Inc. Case No. 99-00619 Names of Respondents RAS Securities Corp. Edward P. Galvan REPRESENTATION OF PARTIES For Claimants Greg Seitz, Dawn Dannette Seitz and Seitz Management, Inc. hereinafter collectively referred to as "Claimants": J. Pat Sadler, Esq. of the law firm of Sadler & Associates, P.C., At

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bloomberg Tradebook LLC, (Claimant) vs. Piper Jaffray Inc., (Respondent) Case Number: 99-00615 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Bloomberg Tradebook LLC, hereinafter referred to as "Claimant": Richard L. Klein, Esq., Willkie Farr & Gallagher, New York, NY. Respondent Piper Jaffray Inc., hereinafter referred to as "Respondent": Frank A. Tay