Award NASD Regulation, Inc. In the Matter of the Arbitration Between: William H. Doriss, (Claimant) vs. Leonard F. Lupoli, Richard Pignone, and A.G. Edwards & Sons, Inc., (Respondents) Case Number: 99-00614 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant William H. Doriss, hereinafter referred to as "Claimant" appeared pro se. Respondent Leonard F. Lupoli ("Lupoli"): Todd H. Lampert, Esq., Law Offices of Todd H. Lampert, New Cana

Award NASD Dispute Resolution. Inc. In the Matter of the Arbitration Between: Lester Lin, Claimant v. E*Trade .Securities. Inc.. Respondent Case Number: 00-03322 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant; Patrick McNamara, Esq. HI Dorado Hills, California For Respondent: likwan E Rhew, Esq. Bird, Maiclla, Boxer & Wolpcrt Los Angeles. California CASE INFORMATION Statement of Claim filed on or about Juh

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: The Equitable Life Assurance Society of the United States and EQ Financial Consultants, Inc. f/k/a Equico Securities, Inc., (Claimants) vs. Scott A. Gidley, (Respondent). Case Number: 99-00613 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimants, The Equitable Life Assurance Society of the United States and EQ Financial Consultants, Inc. f/k/a Equico Securities, Inc.,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Christian Mayaud, M.D., (Claimant) vs. Cowen & Company, Ronald Giickman, and Ondine McBurney, (Respondents) Case Number: 99-00612 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Christian Mayaud, M.D., hereinafter referred to as "Claimant": Alan Rafterman, Esq., and Jennifer M. Newcomb, Esq., Graubard, Mollen & Miller, New York, NY. Respondents, Cowen

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Liberty Travel, Inc. and Go/Go Tours, Inc. Employees' Defined Benefit Plan As Restated, (Claimant) vs. Klein Maus & Shire, Inc., Maurice Arthur Gross, Jr. a/k/a Mike Gross, and Mohammad AH Khan, (Respondents) Case Number: 99-00610 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Liberty Travel, Inc. and Go/Go Tours, Inc. Employees' Defined Benefit Plan As

Award NASD Regulation, Inc. In the Matter of the Arbitration Between The J.B. Sutton Group, LLC. (Claimant) vs. Steven Arevaio (Respondent) Case Number: 99-00608 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, The J. B. Sutton Group, LLC ("Claimant"): Seth Rutman, Esq., in-house counsel, Syosset, New York. Respondent, Steven Arevaio ("Respondent"): Michael S. Finkelstein, Esq., Garden City, New York. CASE INFORMATION Sta

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, EVC. CASE: 99-00607 The J.B. Sutton Group, LLC claimant vs. Joseph Critelli, respondent. ATTORNEYS: For Claimant The J.B. Sutton Group, LLC, appeared Gregg R. Evangelist, Esq., Great Neck, New York. Respondent Joseph Critelli did not respond to the Statement of Claim. DATE FILED: 2/11/1999 CASE SUMMARY: Claimant alleged that it loaned Respondent $3,500.00 as an advance

1 NASD REGULATION An NASD Compoiy NASD Regulation, Inc. Office of Dispute Resolution 125 Braad Street' 36th Floor • New York. NY 10004-2193 " 212-858-4400 " Fax 212-858-4389 Satellite Office at: 1735 K Street * 4th Floor * NW 'Washington. DC 20006-1506 * 202-728-8958 ' Fax 202-728-6852 N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00599 Charles Schwab & Co., Inc., claimant vs. David V. Daniel,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Everen Securities, Inc. (Claimant) vs. Richard Lingren (Respondent). Case Number: 99-0598 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Everen Securities, Inc. ("Claimant"): Diane C. Fischer, Esq. and Ronald Kane: Kane & Fischer, LTD., Chicago, IL. Respondent, Richard Lingren ("Respondent): represented himself. CASE INFORMATION Statement of Claim filed on or

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-00596 Everen Securities, Inc., claimant vs. Jeffrey Harkness, respondent. ATTORNEYS: For Claimant Everen Securities, Inc., Diane C. Fischer, Esq., Goomberg Kane & Fischer, Ltd., Chicago, Illinois. Respondent Jeffrey Harkness, did not file a Statement of Answer in this matter. DATE FILED: 2/10/1999 CASE SUMMARY: Claimant maintained that on November 4, 1994,