fEB-01-00 23-56 FROM: ID* PAGE 2/S NASD Regulation, Inc. In the Matter of the Arbitration Between Ferris* Baker Watts, Inc, Mayer Kanter Case No. 99-00029 Hearing Location: Washington, D.C. REPRESENTATION OF PARTIES Claimant Ferris, Baker Wans, Inc. ("Cbunant") was represented by William A. Healy, Esq. of the law firm of Silbiger and Coleman, Westminster, Maiyland. Respondent Mayer Ranter ("Respondent") represented himself on the pleadin

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00028 Robert M. Brosko Sr. and Marie I. Brosko, claimants vs. Rodger O. Riney, Scottsdale Securities, Inc., and Edward S. Schlichting, respondents. ATTORNEYS: Claimants Robert M. Brosko Sr. and Marie I. Brosko appeared Pro Se., Clawson, MI. For Respondents Rodger O. Riney, Scottsdale Securities, Inc., and Edward S. Schlichting appeared, Ellis Hough, Compliance

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-0027 Robert and Maxine Teitler, claimants vs. Ameritrade, Inc., respondent. ATTORNEYS: Claimants, Robert and Maxine Teitler, appeared Pro Se., New York, NY. James A. Ricketts, Vice President of Ameritrade, Inc., appeared for Respondent, Bellevue, NE. DATE FILED: 01/04/99 CASE SUMMARY: Claimant alleged failure to process an on-line stop order for shares of

AWARD NASD Regulation, Inc. CASE: 99-00026 Leon Teitzman & Rose Teitzman, claimants vs. Eugene Cordano, respondent. ATTORNEYS: Claimant appeared Pro Se, Boynton Beach, FL. For Respondent appeared Michael H. Ference, Esq., of the firm, Lampert, Lampert & Ference, New York, NY. DATE FILED: January 4, 1999 CASE SUMMARY: Claimant alleged that respondent sold his 300 shares and 300 warrants of Aid Auto Stores, Inc., and purchased shares of Bancroft H

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Stephanie Gal, (Claimant) vs. Brian A. Fried and Glenn Michael Financial, Inc., (Respondents) Case Number: 99-00021 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Stephanie Gal, hereinafter referred to as "Claimant": David E. Robbins, Esq., Kaufmann, Feiner, Yamin, Gildin & Robbins LLP, New York, NY. Claimant originally appeared pro se. Respondents, B

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Mary Jo Carman Case No. 99-00018 Names of Respondents Smith Barney, Inc. Michael Smith REPRESENTATION OF PARTIES For Claimant: Vincent J. D'Antonio, Esq., Fort Lauderdale, FL. For Respondents Smith Barney, Inc. ("Smith Barney") and Michael Smith ("Smith"): Bradford D. Kaufman, Esq. and Joseph C. Coates, III, Esq. of Greenberg Traurig,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Ali and Pamela Pakzad, Claimants v. Dalton Kent Securities Group, Inc., Alan Elkes, Glenn Beyer, Justyn Feldman, John Vandy, and Howard Nifoussi, Respondents. Case Number: 99-00008 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: For Respondents Dalton Kent Securities Group, Inc., Alan Elkes, Glenn Beyer, Justyn Feldman, and John Vandy: Fo

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Daniel C. Warren and Beulah J. Warren, (Claimants) vs. J. B. Oxford & Co. and Matthew Woodruff, (Respondents). Case Number: 98-04870 Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES Claimants, Daniel C. Warren and Beulah J. Warren, hereinafter {collectively} referred to as "Claimants" were represented by David S. Sprawls, Esq., of the UAW-Ford Legal Services Plan, Loui

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03247 Paul Peterson, Claimant vs. E*Trade Securities, Inc., Respondent. ATTORNEYS: Claimant, Paul Peterson, ("Claimant"), appeared Pro Se, Plantation, FL. Respondent, E*Trade Securities, Inc., ("Respondent"), appeared through its Compliance Officer, Lori Davis, Palo Alto, CA. DATE FILED: July 25, 2000. CASE SUMMARY: Claimant alleged that on April 10, 2000, he opened a $1,000 cash a

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Trend Trader, L.L.C., Claimant v. Ryan Litchfield, Cindy Litchfield, and IBT Management Corporation, Respondents Case Number: 98-03948 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimant: Michael Salcido, Esq. Law Offices of Michael Salcido Phoenix, Arizona For Respondents: Joe Wishcamper, Esq. Law Offices of Joe Wishcamper Snohomish,