Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants MML Investors Services, Inc. Ralph C. Freibert, III Massachusetts Mutual Life Insurance Co. Case No. 99-05335 Name of Respondent Hunter W. Brannon, Jr. Hearing Site: New Orleans, LA REPRESENTATION OF PARTIES For MML Investors Services, Inc. ("MML") and Massachusetts Mutual Life Insurance Co. ("Mass Mutual"): Stephanie D. Shuler, Esq. of St

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Joseph W. Schaeffer Case No. 99-05324 Names of Respondents Morgan Keegan & Company, Inc. George Arras, Jr. Earl Bailey Jock Whisnaut REPRESENTATION OF PARTIES For Joseph W. Schaeffer, hereinafter referred to as "Claimant": James A. Johnson, Esq., Mobile, AL. For Morgan Keegan & Company, Inc. ("MKC"), George Arras, Jr. ("Arras"), Earl Bai

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-05319 GKN Securities Corp., Claimant vs. Paul Brodsky, Respondent. ATTORNEYS: Claimant, GKN Securities Corp. ("Claimant") appeared through its Vice President, Michael Colombo, New York, NY. Respondent, Paul Brodsky, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: November 26, 1999 CASE SUMMARY: Claimant alleged that Respondent breached their contractual agree

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-05317 Isidor Farash, claimant vs. Alan Lustig and GKN Securities, respondents. ATTORNEYS: Claimant Isidor Farash ("Claimant"), appeared Pro Se., Chatam, New Jersey. For Respondent GKN Securities Corp. ("GKN"),and Alain Lustig ("Lustig"), (collectively "Respondents"), Katherine Nathan, in-house counsel for GKN Securities Corp., New York, New York. DATE FILE

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: i Bruce Hicks and Lisa Hicks, (Claimants) vs. A.G. Edwards & Sons and William Andrew Gallmeister (Respondents). Case Number: 99-05313 Hearing Site: Denver, Colorado REPRESENTATION OF PARTIES Claimants, Bruce Hicks and Lisa Hicks, ("Claimants"): Richard J. Edson, Esq. Edson, Laplante & Spinelli, PC, Sacramento, CA. Respondent, A.G. Edwards & Sons, Inc. and William Andre

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Marion Bass Securities Corporation, Claimant v. Laura C. Farlow, Respondent Case Number: 99-05312 Hearing Site: Charlotte, North Carolina REPRESENTATION OF PARTIES For Claimant: W. Shawn Murnahan, Esq. Alston & Bird LLP Atlanta, Georgia For Respondent: W. Joseph Dozier, Jr., Esq. Dozier, Miller, Pollard & Murphy Charlotte, North Carolina Michael S. M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sandra Jo Kennemer, an individual and as beneficiary of the Sandra Jo Kennemer IRA Cont., the Sandra Jo Kennemer Roll IRA, the Sandra Jo Kennemer IRA Rollover, and the Sandra Jo Kennemer IRA (Choice), Claimants v. Wedbush Morgan Securities and Philip R. Crabb, Respondents Case Number: 00-05559 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Edward

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant \ James V. Rider and Judy K. Rider , - and 99-05308 Kansas City, Missouri Name of Respondents Fahnestock & Co., Inc. Terry Beeman REPRESENTATION OF PARTIES James V. Rider and Judy K. Rider ("Claimants") were represented by Roger N. Walter, Esq. And Susan R. Schrag, Esq., Morris, Laing, Evans, Brock & Kennedy, Chtd., Topeka, Kansas. Fahne

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Phillip Labarbera Claimant and 99-05307 Dallas, Texas Jay Kent and Merrill Lynch Pierce Fenner & Smith. Inc. Respondents REPRESENTATION OF PARTIES Phillip Labarbera ("Claimant") was represented by Edward J. Hennessy, Esq., Hennessy Gardner & Garth, Houston, Texas. Jay Kent and Merrill Lynch Pierce Fenner & Smith, Inc. ("Respondents") were represented by Char

>ot- Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Shahram Levi, Claimant v. Morgan Stanley Dean Witter Reynolds, Inc., Henry Fereydouni Hamid Fereydouni, Marjan Kamyar a/k/a Martan Kamyar a/k/a Marge Kamyar, and William E. Smith, Respondents Case Number: 99-05301 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: For Respondents: Bradd L. Milove, Esq. Brian Miller, Esq. Mi