Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Richard L. Bevins, on behalf of the Richard L. Bevins IRA and as Trustee for the Richard L. Bevins Trust FBO Richard L. Bevins Case No. 00-05483 Hearing Site: St. Louis, Missouri nf T?pgnnnrlpnfQ A.G. Edwards & Sons, Inc. and Richard O. Stocke, Jr. OF PABTTRS Claimant Richard L. Bevins, on behalf of the Richard L. Bevins IRA and as Trustee for m^Rfdiard- L. Bevi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nicholas Fusaro, Nancy Fusaro, the Nicholas Fusaro, Jr. Revocable Trust, and Nancy Fusaro as Custodian for Nicole M. Fusaro and Nicholas M. Fusaro, (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Richard F. Greene, (Respondents) Case Number: 99-04357 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants, Nicholas Fusaro, Nancy Fusaro, the Nicholas F

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Craig Shaber, Claimant v. Pacific Cortez Securities, Inc., Troy J. Flowers and James A. Revels, Respondents Case Number: 99-04356 Hearing Site: San Diego, California REPRESENTATIQNOF PARTIES For Claimant: For Respondent Pacific Cortez Securities, Inc. For Respondent Troy J. Flowers: For Respondent James A. Revels: CASE INFORMATION John J. Rice, Esq. LaF

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Arnold H. Simon, (Claimant) vs. Hambrecht & Quist LLC and Michael Rice, (Respondent) Case Number: 99-04353 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Arnold H. Simon, hereinafter referred to as "Claimant": Matthew J. Sava, Esq., Shapiro Forman & Allen LLP, New York, NY. Respondent, Hambrecht & Quist LLC ("H&Q"): Michael J. McAllister, Esq.,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Ronald Doses, (Claimant) vs. E*Trade Securities, Inc., (Respondent) Case Number: 99-04351 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Ronald Doses ("Doses"), hereinafter referred to as "Claimant", appeared pro se. Respondent, E*Trade Securities, Inc. ("E*Trade"), hereinafter referred to as "Respondent": Mark T. Drooks, Esq., Bird, Marella, Boxer & Wolpert, Los

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Herman Salomon and Gloria Salomon, (Claimants) vs. David Netkin, Rickel & Associates, Inc., Atlantic Group Securities a/k/a Rickel Securities, John C. Sabo, Arnold Ira Cohen, and J.J.B. Milliard, W.L. Lyons, Inc., (Respondents) Case Number: 99-04345 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Herman Salomon ("H. Salomon") and Gloria Salomon ("G. Salomon"),

Award NASD Dispute Resolution. Inc. In the Matter of the Arbitration Between: David Shakarchi (Claimant) vs. Charles Schwab £ Co.. Inc.. t.Respondent* Case Number: 99-04344 Hearing Site: New York. New York REPRESENTATION OF PARTIES Claimant. David Shakarchi. hereinafter referred to as "Claimant": Joseph H. Neiman, Joseph H. Neiman. Attorney at Law. Hackensack. NJ. Claimant originally appeared pro \e. Respondent, Charles Schwab & Co.. Inc.. hereinafter r

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-04343 Beverly A. Wheeler, claimant vs. Norwest Investment Services, Inc., Dorothy N. Kong Picha and Vance S. Chavez, respondents. ATTORNEYS: Claimant appeared Pro Se, Scottsdale, Arizona. For Respondents appeared Sherri Hallerman Gould, Esq. of the firm Wells Fargo, Minneapolis, Minnesota. DATE FILED: September 23, 1999 CASE SUMMARY. Claimant alleged t

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimants Case Number: 00-05480 Lilyan Busk and Raymond Busk Name of the Respondent Hearing Site: Chicago, Illinois Dreyfus Brokerage Services REPRESENTATION OF PARTIES Claimants, Lilyan Busk and Raymond Busk Busk, hereinafter collectively referred to as "Claimants": Thomas F. Burke, Esq. with law offices located in Chicago, Illinois. Respondent, Dreyfus Br

Amended Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard G. Bell and Danielle Stanton, Claimants v. Prudential Securities, Inc., Robert J. Filderman, and Gene Ingargiola, Respondents ase Number 99-04338 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Robert A. Uhl, Esq. and Philip M. Aidikoff, Esq. Aidikoff&Uhl Beverly Hills, California For Respondents: Terry Ross, Esq. and