NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:00-03270 Barrel K. Hadley, claimant vs. Ameritrade, Incorporated, respondent. ATTORNEYS: Claimant appeared Pro Se, Victorviile, CA. » Respondent appeared through in-house counsel, Caroline F. Wyzykowski, Bellevue, NE. DATE FILED: August 1, 2000. CASE SUMMARY: Claimant alleged that respondent failed to process five transfer forms in a timely manner thereby causing financial losses.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: William Monte, (Claimant) vs. Ameritrade, Inc., (Respondents). Case Number: 99-00141 Hearing Site: San Francisco, California, REPRESENTATION OF PARTIES William Monte hereinafter referred to as ''Claimant": William Monte represented himself. Ameritrade, Inc. hereinafter referred to as "Respondent": James J. Vihstadt, Esq., Ameritrade, Inc., Omaha, Nebraska. CASE INFORMATION Sta

AWARD NASD Regulation, Inc. CASE: 99-00132 Mark Glaser and Lynn Glaser, JTWROS, claimants vs. Sean M. Zausner and Global Financial Group, Inc., respondents. ATTORNEYS: Claimants appeared Pro Se - Springfield, VA. For Respondent SeanM. Zausner appeared Luigi Spadafora, Esq. and Mark G. Vaughan, Esq., of the firm, Winget & Spadafora, LLP, New York, NY. For Respondent Global Financial Group, Inc. appeared Michael H. Ference, Esq., of the firm, Lamp

7 N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-00126 Gary Baker, claimant vs. Howard A. Fields and Morgan Grant Capital Corp., f/k/a Worthington Capital Corp., respondent. ATTORNEYS: Claimant Gary Baker ("Claimant")* appeared Pro Se., Syracuse, New York. Respondent Howard A. Fields ("Fields"), did not respond to the Statement of Claim. For Respondent Morgan Grant Capital Corp., f/k/a Worthington Capi

Award NASD Regulation, lac. In the Matter of the Arbitration Between Name of Clamant Joseph C/Paul vs. Case No, 99-00125 Namejjf Respondent Prudential Securities, Inc. REPRESENTATION OF PARTIES Claimant Joseph C. Paul ("Claimant") was represented fay John E. MacDonald, Esq- of the law finn Stark & Stark, P.C., Lawrencevffle, NJ. ' • . . . , ' " ".." . Respondent Prudential Securities Incorporated {"Respondent*

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Claimants William E. and Isabel D. Austin vs. 99-00120 Respondent Olde Discount Corporation REPRESENTATION OF PARTIES Claimants, William E. and Isabel D. Austin, hereinafter referred to as "Claimants": James E. Prendergast, Esq., Davis Bennett Barr & Spiess, Wayne, Pennsylvania Respondent Olde Discount Corporation, hereinafter referred to as "Respondent": Donald Wray,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Christy L. Sailer, (Claimant) vs. Olde Discount Corporation, (Respondent and Third-party Claimant) and Jeff Ohe (Respondent and Third-party Claimant) v. Jason Sailer Herbert (Third Party Respondent). Case Number: Hearing Site: 99-00119 Houston, Texas REPRESENTATION OF PARTIES Claimant, Christy L. Sailer ("Sailer"), hereinafter referred to as "Claimant": Annette M. Henr

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Everen Securities, Inc. n/k/a First Union Securities, Inc. and 99-00117 Name of Respondent Mikyung Oh REPRESENTATION OF PARTIES Everen Securities, Inc., n/k/a First Union Securities, Inc. ("Claimant") was represented by Ronald P. Kane, Esq., Gomberg Kane & Fischer, Ltd., Chicago, Illinois. Mikyung Oh ("Respondent") appeared pro se. CASE INFORMATION

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Alan B. Flandreau, Trustee f/b/o Cox Heating & Air Conditioning, Inc. Profit Sharing Trust, UTD 5/15/70 and Alan B. Flandreau, Trustee f/b/o Cox Heating & Air Conditioning, Inc. Pension Plan & Trust, UTD 5/5/70 Case No. 99-00107 Names of Respondents Salomon Smith Barney Inc. Harvey P. Rose REPRESENTATION OF PARTIES For Claimants: Jeffrey P. Co

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lorenz M. and Victoria Hofmann, Claimant v. Gregg Adams and Robert William Lisnoff, Jr., Respondents Case Number: 00-3260 Hearing Site: Raleigh, North Carolina REPRESENTATION OF PARTIES Lorenz M. and Victoria Hofmann ("Claimant") Gregg Adams ("Adams") and Robert William Lisnoff, Jr. ("Lisnoff") pro se pro se Michael Osborne, Esq. Stark & Stark, P.C.