NASD DISPUTE RESOLLTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04824 Christopher Lim, claimant vs. Pearl Tang, respondent ATTORNEYS: For Claimant appeared Brett A. Alcala, Esq. of the firm Birabaum, Umeda & Alcala LLP, Redwood City, CA. For Respondents appeared William C. Dresser, Esq., San Jose. CA DATE FILED: October 26. 1999 CASE SUMMARY: Claimant alleged that respondent requested the purchase of 500 shares of TFSM and provided two chec

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Pamela L. Bullard v. Name of Respondent Merrill Lynch, Pierce, Fenner & S^riith, Inc. and Richard Harrell Garner ' NASD Arbitration No. 99-04820 Hearing Location: Dallas, Texas NATURE OF THE DISPUTE Public Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimant Pamela L. Bullard was represented by Patrick La

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Kimberly Sabaugh and 99-04819 Detroit, Michigan Merrill Lynch Pierce Fenner & Smith, Inc, UBS PaineWebber, Inc., and Steven Haag Riga REPRESENTATION OF PARTIES Kimberly Sabaugh ("Claimant") was represented by William S. Bonnheim, Esq., Anderholt, Bonnheim & Casden LLP, Indian Wells, California. Claimant was formerly represented by Steven Snyder, Camp Meeker, Californi

STIPULATEDAWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Mary Kangas and 99-04808 Detroit, Michigan Vestax Securities Corporation, and Timothy L. Ford REPRESENTATION OF PARTIES Mary Kangas ("Claimant") was represented by Anthony V. Trogan, Esq., West Bloomfield, Michigan. Vestax Securities Corporation ("Vestax") was represented by Melvin G. Moseley, Jr., Esq., Warner, Norcross & Judd, LLP., Grand Rapids, Mic

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants David E. Graham, Jr. Elizabeth Graham Case No. 99-04805 Names of Respondents Coleman & Company Securities, Inc. Andrew I. Fernholz Dalton Kent Securities Group, Inc. REPRESENTATION OF PARTIES For David E. Graham, Jr. and Elizabeth Graham, hereinafter collectively referred to as "Claimants": Roger W. Van Deusen, Esq., Chattman, Gaines & Ste

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Art and Beatrice Zaras, Art Zaras IRA, and Beatrice Zaras IRA, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Jeffrey Lavner, and Christopher Dyrek, Respondents Case Number: 99-04802 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Matthew R. Rutherford, Esq. Law Offices of Matthew R. Rutherford San Diego, California For Respo

Award NASD Dispute Resbiutidri, In the Matter of the Arbitration Between; Jeffrey Watzman and Kimberly Watzman vs. A.G. Edwards & Sons, Inc., Donald J. Van De Steene & Mark M. Bonnot Case Number: 99-4801 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimants, Jeffrey Watzman and Kimberly, hereinafter collectively referred to as "Claimants": Dean J. Groulx, Esq., Nine & Groulx, P.C., Bloomfield Hills, Michigan. Respondents, A.G. Edwards

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Dana Schafer, individually Dana Schafer, IRA Case No. 99-04798 Hearing Site: Chicago, Illinois Name of Respondents Prudential Securities, Inc. J. David Veitch REPRESENTATION OF PARTIES Claimants Dana Schafer, individually and Dana Schafer, IRA ("Ms. Schafer") were represented by P. Decker Sachse, Esq. of Barkley Titus Hillis & Reynolds

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds Inc. vs. Case No. 99-04794 Name of Respondent David F. Pac REPRESENTATION OF PARTIES Claimant, Dean Witter Reynolds, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, Illinois Respondent, David F. Pac, hereinafter referred to as "Respondent," did not appear. CASE INFORMATION

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of the Claimants Case Number: 00-05512 Chetty and Uma Mamandur Names of the Respondents Hearing Site: Little Rock, Arkansas Prudential Securities, Inc. Jimmy Earl Power, Jr. a/k/a Jason Power REPRESENTATION OF PARTIES For Chetty and Uma Mamandur, hereinafter collectively referred to as "Claimants": Richard T. Donovan, Esq. of the Rose Law Firm, P.A., Little Rock,