Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Mary Francis Medaris, Michael A. Mills, Ralph Bown and George Bown, (Claimants) vs. A.G. Edwards & Sons, Inc. and Raymond "Buzz" Allen, Jr., (Respondents). Case Number: 99-01739 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimants, Mary Francis Medaris, Michael A. Mills, Ralph Bown and George Bown (collectively "Claimants"): William S. Shepherd, Esq. and Kirk G. Smith,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dan and Roberta Llewellyn, (Claimants) vs. E*Trade Securities, Inc., (Respondent) Case Number: 99-01736 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Dan and Roberta Llewellyn, hereinafter collectively referred to as "Claimants": C. Thomas Ludden, Esq., Lipson, Neilson, Jacobs & Cole, P.C., Troy, ML Respondent, E*Trade Securities, Inc., hereinafter refe

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01733 Jeanne L. Wilson, IRA, claimant vs. Joseph E. Klarberg, respondent. ATTORNEYS: Claimant Jeanne L. Wilson, IRA, ("Claimant"), appeared Pro Se., Rochester, New York. For Respondent Joseph E. Klarberg,("Respondent"), Nuviah Shirazi, Esq., Litigation Counsel for A.G. Edwards & Sons, Inc., St. Louis, Missouri. DATE FILED: 04/13/1999 CASE SUMMARY: Claimant

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01732 Bach Thanh and Hue Van Cao, claimant vs. Thomas F. White & Co,, Inc., respondent. ATTORNEYS: Claimants, Bach Thanh and Hue Van Cao, appeared Pro Se., Fremont, CA. Respondent, Thomas F. White & Co., Inc., appeared through its staff attorney, Michael Bolgatz, Esq., San Francisco, CA. DATE FILED: 4/13/99 CASE SUMMARY: Claimant alleged that respondent ac

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: James Timothy Peterson vs. Morgan Stanley Dean Witter, Inc. and Christopher W. Brooks Case Number: 99-1728 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, James Timothy Peterson ("Peterson"), hereinafter referred to as "Claimant": David M. Foster, Esq., Farmington Hills, Michigan. Respondents, Morgan Stanley Dean Witter, Inc. ("MSDW) and Christopher W. Brooks

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01727 John B. and Molly R. Barry, claimants vs. Ameritrade, Inc., respondent. ATTORNEYS: Claimants appeared Pro Se., Sugar Grove, NC. Respondent, appeared through its Vice President, James A. Rickets, Bellevue, NE. DATE FILED: 4/13/99 CASE SUMMARY: Claimants alleged mishandling by respondent of orders placed by claimants for purchases of shares of Navarre

Award NASD Regulation, inc. In the Matter of the Arbitration Between: PaineWebber Inc., (Claimant) vs. Damon M. Lewis. (Respondent). Case Number: 99-01724 Hearing Site: Dallas. Texas REPRESENTATION OF PARTIES Claimant, PaineWebber, Inc., ("Claimant"): Greg Copeland, Esq., PaineWebber, Inc. located in Los Angeles, CA. Respondent, Damon M. Lewis ("Respondent") represented himself. CASE INFORMATION Statement of Claim filed on or about: April 8, 199

Award NASD Dispute Resolution In the Matter of the Arbitration Between: riaimantg Tsai-Hsien Lee and Chao-& Tsu Lee - 99-01721 Nfltng n f thf WMA Securities, Inc, and Shan Guo ite* Dallas, Texas NTTTPff OF Customer v. Member Firm and Associated Person Claimants Tsai-Hsien Lee and Chao-& Tsu Lee, hereinafter collectively referred to as "Claimants": Appeared pro se. Respondent WMA Securities, Inc., hereinafter referred to a

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03486 Paine Webber Incorporated, Claimant vs. Frank I Strick, Respondent. ATTORNEYS: For Claimant, Paine Webber Incorporated, ("Claimant"), appeared Romaine Gardner, Esq., Staten Island, NY. Respondent, Frank I. Strick, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: August 11, 2000 CASE SUMMARY: Claimant alleged that Respondent failed to repay a debit balanc

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Richard Ross Hyde, (Claimant) vs. Floyd Stephen Allen, Southwest Securities, Inc., SWS Financial Services (Respondents). Case Number: 99-01720 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Richard Ross Hyde ("Claimant"): Thomas G. Ferrier, Esq.: Murphy, Mahon, Keffler & Ferrier, L.L. P., Ft. Worth, Texas. Respondents, Floyd Stephen Allen, Southwest Securities, In