N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE; 99-01892 Charles Schwab & Co., Inc., claimant vs. Sevtap Oge, respondent. ATTORNEYS: For Claimant Charles Schwab & Co., Inc. ("Claimant"), Diane C. Fischer, Esq., Gomberg Kane & Fischer, Ltd., Chicago, Illinois. Respondent Sevtap Oge ("Respondent"), did not respond to the Statement of Claim. DATE FILED: 4/23/1999 CASE SUMMARY: Claimant alleged that on May 14,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants John D. and Melanie A. Moore, JT. Ten. Karen L. Moore, IRA vs. Case No. 99-01890 Name of Respondent John F. Murphy, Jr. REPRESENTATION OF PARTIES Claimants, John D. and Melanie A. Moore, Joint Tenants and Karen L. Moore IRA, hereinafter collectively referred to as "Claimants": Matthew J. Turtle, Esq., Perkins, Smith & Cohen, Boston, Massachuset

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Lowell and Shoshana Bell by POA Mark Bell (Claimants) vs. J.B. Oxford & Company (Respondent) Case Number: 99-01878 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Lowell and Shoshana Bell by POA Mark Bell, hereinafter collectively referred to as "Claimants", appeared pro se. Respondent, J.B. Oxford & Company, hereinafter referred to as "Respondent": Cynthia M

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: ]Miipijv»f 00-03498 Paul Z. Brochstein nf thp; Rfrspn^HpTrt Hp^fj-pig Si*f ' Houston, Texas PaineWebber, Inc., David A. Solomon and Andrew B. Linbeck fW Claimant, Paul Z. Brochstein, hereinafter referred to as "Claimant": William Shepherd, Esq., of Shepherd, Smith & Bebel, Houston Texas. Respondents, PaineWebber, Inc., ("PaineWebber") David L. Solomon ("Solomo

Award NASD Regulation, Inc In the Matter of the Arbitration Between Name of Claimant William H. Temme Case No. 99-01875 Names of Respondents Everen Securer Inc. H. Brett Tuttr REPRESENTATIONJQF PARTIES Claimant William H. Temme (hereinafter "Claimant") appeared pro se. For Respondents Everen Securities, Inc. ("Everen") and H. Brett Tuttrup ("Tuttrup"), (hereinafter collectively referred to as "Respondents"): Don Andrews, Esq., Everen Sec

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mohsen Eshtehardi and Maverick Investments, Inc., Claimants vs. Providential Securities, Inc., Southwest Securities, Inc., Henry Fahman, Theodore Fahman, Timothy Fahman, Myan Thi Doan, and Tina T. Phan, Respondents Case Number: 99-01874 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants Mohsen Eshtehardi and & Maverick Investments, Inc. F

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Diane Aiphuong Troung, Claimant v. Vincent A. Lovoy and Salomon Smith Barney, Inc., Respondents Case Number: 99-01865 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Diane Aiphuong Troung In Pro Per Huntington Beach, California For Respondents Salomon Smith Barney, Inc. and Vincent A. Lovoy: Etta M. Gumbs, Esq. Salomon Smith Barney

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Nabil A. Jacob Case No. 99-01864 Name of Respondent Charles Schwab & Company, Inc. REPRESENTATION OF PARTIES For Nabil A. Jacob, ("Jacob"), hereinafter referred to as "Claimant": Frank A. Lightmas, Esq. of Lightmas & Delk, Atlanta, Georgia. For Charles Schwab & Company, Inc., ("Schwab"), hereinafter referred to as "Respondent": Albert Zecher, Jr

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01862 Charles Schwab & Company, Inc., claimant vs. Constance J. Arora and Sanjiv Arora, respondents. ATTORNEYS: For Claimant appeared Stephen S. Berkley, Esq., Diane C. Fischer, and Linda A. Gallagher, of the firm Gomberg Kane & Fischer, Ltd., Chicago, IL. Respondent, Sanjiv Arora, appeared Pro Se., New Brighton, MN. Respondent, Constance J. Arora, failed

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Craig A. Keenan and Sharon M. Keenan, (Claimants) v. Barren Chase Securities, Inc. and Joseph J. Curtiss, (Respondents) Case Number: 99-01861 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Craig A. Keenan and Sharon M. Keenan ("Keenan"): James A, McGurk, Esq., Law Offices of James A. McGurk, Chicago, Illinois. Respondent Barren Chase Securities, Inc