AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Dennis Schuetzle Trustee, Dennis Schuetzle Trust U/A Dtd 06/27/1990, by Dennis Schuetzle, Claimant and Counter Respondent v. 00-05507 Troy, Michigan Merrill Lynch Pierce Fenner & Smith, Inc. Edward A. Sui, Respondents, Counter Claimants, and Third Party Claimants v. Judith Schuetzle, Third Party Respondent REPRESENTATION OF PARTIES Dennis Sch

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mychal S. Lahey, (Claimant) vs. Ameritrade, Inc., (Respondent) Case Number: 00-00548 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Mychal S. Lahey: Represented himself, pro se. Ameritrade, Inc.: James J. Vihstadt, Esq., Ameritrade, Inc., Bellevue, Nebraska. CASE INFORMATION Statement of Claim filed on or about: February 8, 2000. Claimant signed the

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Soheila Najafzadeh, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Nicholas A. Caruso, (Respondents) Case Number: 99-04522 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Soheila Najafzadeh, hereinafter referred to as "Claimant", appeared pro se. Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill") and Nicholas A. Carus

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04519 Michael Lepie and Sara R. Lepie, claimants vs. Jonathan Price, and Michael Mahoney, respondents. ATTORNEYS: Claimants Michael Lepie and Sara Lepie appeared, Pro Se, Waban, MA For respondents Jonathan Price, and Michael Mahoney, appeared Todd G'Comier, Esq., in- house counsel for Commonwealth Equity Services, Inc, s Washington, DC CASE SUMMARY: Claimants alleged that r

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David Goldberg, Claimant v. Bethany Financial Advisory, Inc. and David Cook, Respondents Case Number: 99-04518 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Timothy N. Will, Esq. Albeit & Will, LLP Torrance, California For Respondents: Steve Wasserman, Esq. Korman, Jackson & Krantz, PLL Cleveland, Ohio CASE INFORMATION Statem

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: OLDE Discount Corporation n/k/a H&R Block Financial Advisors, Inc. vs. Fred D. Veselsky Case Number: 99-4517 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Claimant, OLDE Discount Corporation n/k/a H&R Block Financial Advisors, Inc. ("OLDE"), hereinafter referred to as "Claimant": Michael P. Knittel, Esq., H&R Block Financial Advisors, Inc., Detroit, Mich

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Antina Bedrosian v. Sigma Financial Corporation, Michael G. Zulinski, and Jerome Stanley Rydeil, Donald G. Terns and East-West Capital Corporation Case Number: 99-4513 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Claimant, Antina Bedrosian ("Bedrosian") hereinafter referred to as "Claimant": Anthony V. Trogan, Esq., West Bloomfield Hills, Michigan. Responde

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Carty &Co., Inc. Case No. 99-04510 Names of Respondents Prudential Securities, Inc. Mark M. Ihrie REPRESENTATION OF PARTIES ~& For Claimant: John J. Heflin, III, Esq. of Bourland, Heflin, Alvarez & Minor, PLC, Memphis, TN. For Respondents Prudential Securities, Inc. ("Prudential") and Mark M. Ihrie ("Ihrie"): Michael Richards, Esq. of Baker, Don

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: David H. Werle, Custodian for Blake Werle and Derek Werle,Claimant vs. E*Trade Securities, Inc., Respondent. Case Number: 99-04507 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimant, David H. Werle, Custodian for Blake Werle and Derek Werle, hereinafter referred to as "Claimant": Jeffrey M. Jones, Esq., Law Office of Jeffrey M. Jones, P.C., Pioneer Telegraph Buildi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Mike & Sharon Hovendick, Dave & Melinda Freisleben, Spencer & Joy Knapp, Sozos & Marie Papasozmenos, George & Irene Mellis, Robert & Evelyn Brown, Yvonne Kautsch. Case No. 99-04505 Name of Respondents Edwin A. Allseitz, Jr., Southwest Securities, Inc., SWS Financial Services, Sunpoint Securities, Inc.. REPRESENTATION OF PART