Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Stephen Wong and Melinda Wong, Claimants vs. E*Trade Securities, Inc., Respondent. Case Number: 99-00104 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimants, Stephen Wong and Melinda Wong, (hereinafter collectively referred to as "Claimants"): In Pro Per, 3052 Hillside Drive, Burlingame, CA 94010. Respondent, E*Trade Securities, Inc., "E*Trade, (hereinafter referred to

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00100 The Burkhardt Trust, claimant vs. Capital International Securities Group, respondent. ATTORNEYS: For Claimant The Burkhardt Trust ("Claimant"), Brett J. Saddler, Huntington Beach, California. For Respondent Capital International Securities Group ("Respondent"), David A. Pearl, Esq., Lucio, Mandler, Bronstein, Garbett, Stiphany & Martinez, P.A., Miami, Florid

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Norman Steinberg (Claimant) vs. First Providence Financial Group, Inc., Dan Savery, and Robert DePalo, (Respondents) Case Number: 99-00099 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Norman Steinberg, hereinafter referred to as "Claimant": Randy S. Zelin, Esq., Blodnick, Gordon, Blodnick & Zelin, Jericho, NY. Respondents, First Providence Financial Group, Inc. (

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles W. Hebel, IV, Claimant Vs. Salomon Smith Barney, Inc., PaineWebber, Inc., and Junius Verne Beaver, III, Respondents. Case Number: 99-00090 consolidated with 99-00092 Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES James P. McCrocklin, Esquire, Louisville, Kentucky, represented Claimant, Charles W. Hebel, IV ("Claimant"). Vic

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Barbara Brandfass, (Claimant) vs. Deutsche Bank Securities, Inc. and Deutsche Bank, A.G., (Respondents) Case Number: 99-00089 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Barbara Brandfass, hereinafter referred to as "Claimant": Wayne N. Outten, Esq., Outten & Golden LLP, New York, NY. Respondents, Deutsche Bank Securities, Inc. ("DBSI") and Deutsche Bank,

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Morris E. and Sharon K. Cordes Morris E. Cordes Sharon K. Cordes Morris & Sharon Cordes fbo Danielle Cordes Morris & Sharon Cordes fbo Ryan Cordes and 99-00087 Denver, Colorado Name of Respondents Adams Davis Co. Sean Mueller REPRESENTATION OF PARTIES Morris E. and Sharon K. Cordes Morris E. Cordes, Sharon K, Cordes, Morris & Sharon Cordes

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of'Claimants Jane Leonard, as Trustee of the Christopher J. Leonard Revocable Trust, and Christopher J. Leonard, individually, and as sole beneficiary of the Christopher J. Leonard Revocable Trust Case No. 99-00083 Names of Respondents J. C. Bradford & Co. Michael Anderson Williams REPRESENTATION OF PARTIES For Christopher J. Leonard, individually

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant I.V. Funding, Inc. Case No. 99-00079 Names of Respondents A.G. Edwards & Sons, Inc. Jeremy Duck REPRESENTATION OF PARTIES For Claimant I.V. Funding, Inc., hereinafter referred to as "Claimant": Dan W. Taliaferro, Esq., Montgomery, Alabama. For Respondent A.G. Edwards & Sons, Inc. ("Edwards"): Jeff Jamieson, Associate Vice President & Counsel, A.G. E

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Mark R. Mueller, (Claimant) vs. Gairt^s Berland Inc., Alan Gaines and Arthur M. Coffee (Respondents). Case Number: 99-00076 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Mark R. Mueller, ("Claimant"): Gerald S. Siegmyer, Esq. and David E. Sharp: Attorney at Law, Houston, Te^as. Respondents, Gaines, Berland, Inc., ("Respondents"): Mark Astarita,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Roland C. Nivette, Sr., Individually and as Trustee of the Roland C. Nivette, Sr. Trust and Rosalyn Reiss Nivette, Individually and as Trustee of the Rosalyn Reiss Nivette Trust (hereinafter Roland C. Nivette, Sr. and Rosalyn Reiss Nivette), Claimants v. Amerivet Securities, Inc. and Peter M. Landay, Respondents. Case Number: 99-00075 Hearing Site: Los Angeles, California REPRESENTATI