7 N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC; CASE:99-00239 Cedric M. Swirsky, claimant vs. Century City Securities, Inc, respondent. ATTORNEYS: Claimant Cedric M. Swirsky appeared Pro Se. s Laguna Niguel, California. For Respondent Century City Securities, Inc., appeared James, A. Shalvoy, Esq., Manhattan Beach, California. Respondent did not respond to the Statement of Claim. DATE FILED: 01/20/1999

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Cynthia, Steven, and Robyn Slater, (Claimants) vs. Gilford Securities, Inc. and Robert Goodfriend, (Respondents) Case Number: 99-00238 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimants, Cynthia, Steven, and Robyn Slater, hereinafter collectively referred to as "Claimants": Marc S. Gottlieb, Esq., Beckman, Millman & Sanders, LLP, New York, NY. Respondents, Gilford Secu

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00236 Rajesh Naik and Bhanuben Naik, claimants vs. Advance Clearing Inc., Ameritrade, Inc., and Knight Securities, respondents. ATTORNEYS: Claimants Rajesh Naik and Bhanuben Naik appeared Pro Se., Trumbull, Connecticut. For Respondents Advance Clearing Inc. ("ACI"), and Ameritrade, Inc. ("Ameritrade"), James A. Ricketts, Vice President of Ameritrade, Inc., Bel

AWARD NASD Regulation, Inc. CASE: 99-00235 Calvin Family Living Trust, claimant vs. Edward D. Jones & Co. and Christopher Downs, respondents. ATTORNEYS: Claimant appeared Pro Se, through its trustees, Mesa, AZ. For Respondents appeared in-house counsel, Cynthia A. Doria, Esq.- St. Louis, MO. DATE FILED: January 19, 1999 CASE SUMMARY: Claimant, through Wilbert Calvin alleged that Respondents failed to inform him of the risks of investing in a mut

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Abraham Atkin, (Claimant) vs. Sam Wajner, (Respondent) Case Number: 99-00233 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Abraham Atkin, hereinafter referred to as "Claimant" appeared pro se. Respondent, Sam Wajner, hereinafter referred to as "Respondent": Scott D. Stechman, Esq., Lehman & Eilen, LLP, Uniondale, NY. CASE INFORMATION Statement of Claim filed o

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant WMA Securities, Inc. v. Name of Respondent Chyrell Christine Bryant Arbitration No. 99-00227 For Claimant: For Respondent REPRESENTATION Allegra J. Lawrence, Esq. Sutherland Asbill & Brennan LLP Atlanta, Georgia Richard Boyd Law Office of Richard Boyd Phoenix, Arizona Statement of Claim filed: CASE INFORMATION Claiman

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Amy Hwang, as attorney-in-fact for ShuYing Huang, Claimant v. U.S. Pacific Financial Services, Inc., Ching Liang (Charles) Wang, Ying Yun Lee, William Wei Li, Rosano Yan, Chin Yung Su, Jeffery Chun Chieh Lu, Roger Yuenfu Fan, Robert Steven Altagen, Shyuan Chu, and Chia Yu Teng, Respondents Case Number: 99-00218 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIE

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Richard Meyer, Claimant v. Waterhouse Securities, Inc., Andrew McDonald, and Kennedy, Cabot & Co. Inc. (now Calabasas Asset Holding Co. Inc.,) Respondents. Case Number: 99-00217 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Steve A. Buchwalter, Esq. Law Offices of Steve A. Buchwalter Encino, California For Respondents: Calabasas Asse

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dorothy Sarnecky, Claimant v. M.L. Stern & Co., Inc. n/k/a M.L. Stern & Co., LLC and Frank Perrotti, Respondents Case Number: 00-03272 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Arthur S. Leider Investors Arbitration Specialists Inc. San Diego, California For Respondents: James D. Portman, Esq. M.L. Stem & Co., LLC Beverly

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00351 • Fidelity Brokerage Services, Inc., claimant vs. James Dean Fraser, respondent. ATTORNEYS: For Claimant appeared Laurence K. Richmond, Esq., Quincy, MA. Respondent, James Dean Fraser, did not respond to the Statement of Claim. DATE FILED: January 27, 2000 CASE SUMMARY: Claimant alleged that respondent's account reflected a deficit which was due to purchases and sellouts of s