Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Edna M. Noel, Claimant vs. Salomon Smith Barney Inc., Respondent Case Number: 99-05023 Hearing Site: San Antonio, Texas REPRESENTATION OF PARTIES Claimant, Edna M. Noel, hereinafter referred to as "Claimant", was was represented by Steven Weaklley .Esq., of Duncan r . Ulman, Weakly & Bressler, Inc., San Antonio, TX. Respondent, Salomon Smith Barney Inc., hereinafter referr

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert C. Fiala, Claimant vs. Quick & Reilly, Inc., Respondent. Case Number: 99-05022 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claimant, Robert C. Fiala ("Fiala"), hereinafter referred to as "Claimant", was represented by W. Sean Kelleher, Esquire, Worthington, Ohio. Respondent, Quick & Reilly, Inc. ("Quick & Reilly"), hereinafter referred to as "Respondent",

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dorigol, S.A., (Claimant) vs. J.P. Morgan & Co. Inc., Morgan Guaranty Trust Company of New York, and John Scott Muirhead, Jr., (Respondents) Case Number: 99-05013 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Dorigol, S.A., hereinafter referred to as "Claimant": Marc A. Stadtmauer, Esq., Eckhaus & Olson, New York, NY. Respondents, J.P. Morgan & Co. I

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: ISG Capital Markets (Deutschland) Gmbh, Edward Henschel, and Edgar Seiz, (Claimants) vs. ISG Solid Capital Markets, LLC, (Respondent) Case Number: 99-05006 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, ISG Capital Markets (Deutschland) Gmbh ("ISG Capital"), Edward Henschel ("Henschel"), and Edgar Seiz ("Seiz"), hereinafter collectively referred to as "C

Stipulated Award NASD Dispute Resolution In the Matter of Arbitration Between: Joseph J. Haburjak and David W. Haburjak, Claimants, v. Linsco/Private Ledger Corp., Respondent. Case Number: 00-05533 REPRESENTATION OF PARTIES For Claimants: Gregory Bartko, Esq. Law Offices of Gregory Bartko 3475 Lenox Road, Suite 400 Atlanta, GA 30326 For Respondent: David J. Freniere, Esq. Amanda M. Candelmo, Esq. Linsco/Private Ledger Corp. 155 F

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gwen M. Mathews, Claimant vs. A.G. Edwards & Sons, Inc. and Jack Michael Afonin, Respondents. Case Number: 99-05003 Hearing Site; San Francisco, California REPRESENTATION OF PARTIES Claimant, Gwen M. Mathews, hereinafter referred to as "Claimant": Russell G. VanRozeboom, Esq., Wild, Carter & Tipton, Fresno, California Respondent, .A.G. Edwards & Sons, Inc. ("A.G. Edwards")

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles M. Butler, as custodian for John B. Butler, under the Alaska Uniform Gift to Minors Act; Charles M. Butler, as custodian for Matthew K. Butler, under the Alaska Uniform Gift to Minors Act; and James C. Butler, Claimants vs. A.G. Edwards & Sons, Inc., Respondent. Case Number: 99-05002 Hearing Site: Anchorage, Alaska REPRESENTATION OF PARTIES Claimants: Timothy J. O'Conn

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Sal A. Farinacci and Domenica Farinacci, Claimants Case Number: 99-05001 Vs. Hearing Site: Cleveland, Ohio Bennett Mullaney & Co., Inc., and Michael Verbitsky, Respondents. REPRESENTATION OF PARTIES Lou D'Amico, Esquire, of Argie, D'Amico & Vitantonio, Mayfield Village, Ohio, represented Claimants Sal A. Farinacci and Domenica Farinacci ("Farinacci"), herei

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: #99-04997 Kama! R. Patel, claimant vs. Charles Schwab < fe Co., Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Houston, TX. For Respondent appeared in-house counsel, Steve Murphy, Esq., San Francisco, CA. DATE FILED: November 5, 1999 CASE SUMMARY: Claimant alleged that respondent failed to cancel his order to buy shares of I-net Inc. Claimant further a

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04995 Andrea Marcoux, claimant vs. Steven Gibbone, Ralph Bradac and FFP Securities, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se., Marlton, NJ. For Respondents appeared Stephen L. Koenig, Esq. in house counsel for First Financial Planners., Chesterfield, MO. DATE FILED: November 5, 1999 CASE SUMMARY: Claimant alleged that respondents failed to properly transfer her mo