Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Matthew Pereira, Claimant v. National Securities Corporation and Tamer Youssef, Respondents. Case Number; 99-00564 Hearing Site: NA REPRESENTATION OF PARTIES For Claimant Matthew Pereira: Martin Glickfeld San Francisco, California For Respondents National Securities Corporation Patrick L. Hinton, Esq. and Tamer Youssef HINTON & ROTH Seattle, Washington C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Elizabeth Citrin Pober, (Claimant) vs. Perrin, Holden and Davenport Capital Corp., Brad David Krivit & Jody Joseph Eisenman, (Respondents) Case Number: 00-03316 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Elizabeth Citrin Pober, hereinafter referred to as "Claimant": Louis F. Burke, Esq., Louis F. Burke, PC, New York, NY. Respondents, Perrin, Holde

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00562 Royal Hutton Securities Corp., claimant vs. Trade Advertising, Inc., respondent. ATTORNEYS: For Claimant Royal Hutton Securities Corp., appeared Eden L. Rohrer, Esq., of the firm, Gersten, Savage, Kaplowitz & Fredericks, LLP, New York, NY. For Respondent Trade Advertising, Inc., appeared David E. Neitlich, Esq., Boston, MA. Respondent did not file a Stat

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Edward C, Wang Revocable Living Trust U/A DTD 7/15/94. Claimant vs. Charles Schwab &. Co., Inc., Respondent. Case Number: 99-00560 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Edward C. Wang Revocable Living Trust U/A DTD 7/15/94, hereinafter referred to as "Claimant": Richard Sacks and James J. Sullivan, Esq., Novato, California Respondent, Charles

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: First Montauk Securities Corp., (Claimant) vs. James Niedzwiecki, (Respondent) Case Number: 99-00558 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, First Montauk Securities Corp., hereinafter referred to as "Claimant": Lloyd S. Clareman, Esq., New York, NY. Respondent, James Niedzwiecki, hereinafter referred to as "Respondent" appeared pro se. CASE INFORMATION

Final Order NASD Dispute Resolution In the Matter of the Arbitration Between: First Montauk Securities Corp., (Claimant) vs. Jeff Zieger, (Respondent) Case Number: 99-00555 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, First Montauk Securities Corp., hereinafter referred to as "Claimant": Lloyd S. Oareman, Esq., a sole practitioner, New York, NY. Respondent, Jeff Zieger, hereinafter referred to as "Respondent", appeared pro se,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Judythe A. Janiak, Claimant v. Wells Fargo Securities, Inc. and Wells Fargo Bank, Respondents Case Number: 99-00553 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Matthew R. Rutherford, Esq. Law Offices of Matthew R. Rutherford San Diego, California For Respondent Wells Fargo Securities, Inc.: Robert T. Sullwold, Esq. Sullwold & Hughes Sa

AWARD NASD Regulation, Inc. CASE: 99-00552 Karen Kelly, IRA, claimant vs. Ameritrade, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se - Somerset, NJ. Respondent appeared through its Vice President, James A. Ricketts - Bellevue, NE. DATE FILED: February 8, 1999 CASE SUMMARY: Claimant alleged that after she had contacted a broker and placed an order for the purchase of Dell Computer stock, respondent acted improperly in executing her previous

Award NASD Regulation, Inc. In the Matter of the Arbitration Between; OTA Limited Partnership and Triage Capital Management, L.P., (Claimants) vs. CIBC Oppenheimer Corp., (Respondent) Case Number: 99-00551 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, OTA Limited Partnership and Triage Capital Management, L.P., hereinafter collectively referred to as "Claimants": Theodore Altman, Esq., Piper Marbury Rudnick & Wolfe, LLP, New

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Mark Podschelne and Alma Schroeder Case No. 99-00548 Names of Respondents Timothy G. Moyer Michael McDonald Richard C. Bowersock Southern Financial Group, Inc. REPRESENTATION OF PARTIES For Claimants Mark Podschelne ("Podschelne") and Alma Schroeder ("Schroeder"), hereinafter collectively referred to as "Claimants": Neal J. Blaher, Esq. of