Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Carson X H Liang, Claimant vs. Discover Brokerage Direct, Inc., Respondent. Case Number: 99-01715 Hearing Site: San Francisco, California REPRESENTATIQN OF PARTIES Claimant, Carson X H Liang ("Liang"), hereinafter referred to as "Claimant": N. David Lopez, Esq., Chao &, Lopez, San Francisco, California Respondent, Discover Brokerage Direct, Inc. ("Discover Brokerage"), hereinafter ref

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Emerald Securities, L.L.C., (Claimant) vs. Cornerstone Securities Corporation, (Respondent, Counterclaimant, and Third-Party Claimant) v. William Camilo Kauachi and Jose Kauachi (Third-Party Respondents). Case Number: Hearing Site: 99-01709 Houston, Texas REPRESENTATION OF PARTIES Claimant, Emerald Securities, L.L.C. ("Emerald"), hereinafter referred to as "Claimant"

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Elizabeth and Anthony Saitta Case No. 99-01708 Names of Respondents A.G. Edwards & Sons, Inc. Edward F. Barron REPRESENTATION OF PARTIES For Claimants: Stephen A. Baker, Esq. of Allan & Shipp, P.A., St. Petersburg, FL. For Respondents: Michael Naccarato, Esq. of A.G. Edwards & Sons, Inc., St. Louis, MO. CASE INFORMATION Statement of Claim filed on

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rafael C, Alvarado, Claimant v. David G. Sayyed, Bradley A. Levin, and Drew S. Marloe dba Independent Capital Management, Respondents Case Number: 99-01706 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Associated Persons REPRESENTATION OF PARTIES For Claimant: For Respondent David G. Sayyed: For Respondent Bradley A. Levin: For Respondent D

Award NASD Dispute Resolution, Inc. In the Matter of the Consolidated Case entitled "Becker Consolidated Cases" Consolidated Case Number 99-01705: Robert Stanley Becker and Soon Fa Wu, Claimants v. Go Trading, Inc., Service Asset Management Co. d/b/a Penson Financial, Adnan A. Mirza, Lori Sue Piken, Grace F. Schroeder, Steven A. Owsley, Adtech Financial Corporation, Steven Kane, and Jane Watkins, Respondents Hearing Site: Los Angeles, California Robert

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Equable Securities Corporation v. Robert J. Milosch & Freedom Investors Corporation Case Number: 99-1703 Hearing Site: Milwaukee, Wisconsin REPRESENTATION OF PARTIES Claimant, Equable Securities Corporation ("Equable"), hereinafter referred to as "Claimant": Michael H. Schaalman, Esq., Quarles & Brady, Milwaukee, Wisconsin. Respondent, Robert Joseph Milosch ("Milosch"): James W. Hamme

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Russ & Margo Wittenberg and Nancy Black and 99-01701 Scottsdale, Arizona Name of Respondents WJ. Gallagher & Company, Inc. William J. Gallagher Glenn Jackson Sione Tangen REPRESENTATION OF PARTIES Russ & Margo Wittenberg and Nancy Black ("Claimants") were represented by Richard G. Himelrick, Esq., Tiffany & Bosco, Phoenix, Arizona. WJ.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Anatoly and Anya Vinokurov Case No. 99-01699 Name of Respondents Alex Brown & Sons, Incorporated (n/k/a Deutsche Bane Alex. Brown, Inc.) Wall Street Access Hearing Location: Philadelphia, PA REPRESENTATION OF PARTIES Claimants Anatoly and Anya Vinokurov ("Claimants") were represented by Anatoly Vinokurov. Respondent Alex Brown & Sons Incorporat

t N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: #99-01694 Catherine Jones, claimant vs. Susan Pace, Northeast Securities, Inc., Bishop Rosen & Co., Inc.. Ladenburg Thalmann & Co., Inc., and Robert Thomas Securities, Inc.. respondents. ATTORNEYS: " For Claimant, appeared Lincoln Square Legal Services. Inc., New York. NY. For Respondent, appeared Susan Pace ("Pace") appeared pro se. For Respondent, Northea

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03485 PaineWebber Incorporated, Claimant vs. Randall Raner, Respondent. ATTORNEYS: Claimant appeared through its counsel, Romaine L. Gardner, Esq., Staten Island, NY. Respondent appeared Pro Se, Burlington, VT. DATE FILED: August 11, 2000 CASE SUMMARY: Claimant alleged that Respondent failed to pay the debit balance in his account before the account was transferred. Claim Data