Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Cynthia L. Green, Claimant v. Rupande Dhiren Shethnashrimankar (a/k/a Rupa Shethna), Cery B. Perle, James Clifford Page, HI, Patricia Georgia French, Joseph Gaetano Gerace, Jon G. Aubry, Waldron & Co., Inc., Aubrey Perle Holdings Inc., and Centura Investments, Respondents Case Number: 99-00455 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Cyn

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-00449 Robert F. Newton, claimant vs. J.C. Bradford & Co., respondent. ATTORNEYS: Claimants, Robert F. Newton, appeared Pro Se., Raleigh, NC. Respondent appeared through its Assistant General Counsel, Claude O. Ramer II, Esq., Nashville, TN. DATE FILED: 02/01/99 CASE SUMMARY: Claimant alleged respondent was negligent and mishandled claimant's account. I

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Lawrence PJ. Bonaguidi (Claimant) v. Paine Webber, Incorporated and David Nagler (Respondents) Case Number: 99-00446 Hearing Site: Santa Fe, New Mexico REPRESENTATION OF PARTIES Lawrence PJ. Bonaguidi ("Bonaguidi"): Delmer C. Gowing, III, Esq., Delray Beach, Florida Respondents PaineWebber, Incorporated ("PWT) and David Nagler ("Nagler"), hereinafter collectively referred to a

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECIJPTTTFS nF.AT.KRS REGULATION. INC. CASE: 99-00443 Scott and Celeste Daiagi, claimants vs. Discover Brokerage Direct, respondent. ATTORNEYS: Claimants Scott and Celeste Daiagi ("Claimants") appeared Pro Se., Oakland Park, Florida. For Respondent Discover Brokerage Direct ("Respondent"), Judith M. Rosenberg, Esq., Discover Brokerage Direct, San Francisco, California. DATE FILED: 02/01/1999 CASE SUM

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Michael J. Crowley (Claimant) vs. Ameritrade, Inc., (Respondent). Case Number: 99-00438 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Michael J. Crowiey ("Crowley") appeared pro se. Respondent Ameritrade, Inc. ("Ameritrade"): James J. Vihstadt, Esq., Ameritrade, Inc. Legal Department: Bellevue, .Nebraska. CASE INFORMATION Statement of Claim filed on or abo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jack W. and Carla B. Satterfield, Claimant v. Sands Brothers & Co., Ltd., Respondent Case No. 00-03300 Hearing Location: Tampa, Florida REPRESENTATION OF PARTIES For Jack W. and Carla B. Satterfield, hereinafter referred to as "Claimant": Guy M. Burns, Esq. and Bruce W. Barnes, Esq., Johnson, Blakely, Pope, Bokor, Ruppel & Burns, P.A., Tampa, Florida. For Sands Brothers & Co.,

f , Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Marvin L. Maddox, (Claimant) vs. Dain Rauscher Incorporated and J. Everett Airington (Respondents). Case Number: 99-00433 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Marvin Maddox ("Claimant"): Donald M. Feferman, Esq., Feferman & Rehler, L.L.P. , Dallas, Texas. Respondents, Dain Raucher Incorporated ("Dain Raucher") and J. Everett Airington ("Airin

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: CCST Inc. Money Purchase Pension Plan; Charles I. Kornguth and Todd Kornguth TTEEs, Claimant v. Waterhouse Securities, Inc., Respondent. Case Number: 99-00431 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Robert B. Hutchinson, Esq. Hutchinson & Snider Beverly Hills, California For Respondent: Michael J. Abbott, Esq. and John L. Erikson, Jr.,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Reinhard Hecht Case No. 99-00430 Names of Respondents GKN Securities Corp. Kerry L. Hoffman Matthew B. Schechner REPRESENTATION OF PARTIES For Reinhard Hecht ("Hecht"), hereinafter referred to as "Claimant": Alan C. Kauffman, Esq. of Alan C. Kauffman & Associates, P.A., Boca Raton, Florida. For GKN Securities Corp. ("GKN"), Kerry L. Hoffman ("Hoffma

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Estelle M. Zack Case No. 99-00425 Names of Respondents Thomas K. Wasserman Thos. K. Wasserman & Associates, Inc. Richard T. Saiter John B. Saiter REPRESENTATION OF PARTIES For Claimant Estelle M. Zack hereinafter referred to as "Claimant": Kalju Nekvasil, Esq. of Goodman & Nekvasil, P.A., Clearwater, Florida. For Respondents Thomas K. Wasserman