Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James M. Anderson, (Claimant) vs. Sauceda & Granville Securities, Inc., George Stambouli, Glen Pellone, and Peter Fox, (Respondents) Case Number: 99-01693 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, James M. Anderson ("Anderson"), hereinafter referred to as "Claimant": appeared pro se. Claimant was formerly represented by Robert Bertsch, Esq., Bertsch & Asso

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Stanley S. Bey, (Claimant) vs. J.B. Hanauer & Co, and John Kessler, (Respondents) Case Number: 99-01691 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Stanley S. Bey, hereinafter referred to as "Claimant": Edwin A. Zipf, Esq., Bressler, Amery & Ross, P.C., Florham Park, NY. Respondents, J.B, Hanauer & Co. ("Hanauer") and John Kessler ("Kessler"), hereinaf

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE:99-01686 Charles Schwab & Co. Inc., claimant vs. Stuart Appel, respondent. ATTORNEYS: For Claimant Charles Schwab & Co. Inc., ("Claimant"), appeared Edmund V. Saucedo, Esq. in-house counsel for Charles Schwab & Co. Inc., San Francisco, CA. For Respondent Stuart Appel, ("Respondent"), Stuart Appel did not respond to Claimant's Statement of Claim. DATE FILED: Ap

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01684 Chris Snyder and Sandra Snyder, claimants vs. Waterhouse Securities, Inc., respondent. ATTORNEYS: Claimants Chris Snyder and Sandra Snyder ("Claimants"), appeared Pro Se., Monroe, Ohio, For Respondent Waterhouse Securities, Inc. ("Respondent"), Janis Campanella, Esq., Assistant Counsel to Waterhouse Securities, New York, New York. DATE FILED: April 12, 1

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01683 David G. Counsell, claimant vs. Waterhouse Securities, Inc., respondent. ATTORNEYS: Claimant David G. Counsell ("Claimant") appeared Pro Se, Bainbridge, WA. Respondent Waterhouse Securities, Inc. ("Respondent") appeared through its First Vice President & Assistant Counsel, Janis Campanella, Esq., New York, NY. DATE FILED: 04/12/99 CASE SUMMARY: Claim

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Kevin and Marc Horton Case No. 99-01680 Names of Respondents Prudential Securities, Inc. Justin Weil REPRESENTATION OF PARTIES For Claimants Kevin and Marc Horton ("Horton"), hereinafter collectively referred to as "Claimants": Frank A. Lightmas, Jr., Esq. of the law firm of Lightmas & Delk, Atlanta, Georgia. For Respondents Prudential Securities,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Howard E. Tolley and Margaret E. Tolley Case No. 99-01679 Names of Respondents Royal Palm Investments, Ltd. Robert E. Mitchell Paul S. Tahan Roland I. Greenspan REPRESENTATION OF PARTIES For Howard E. Tolley and Margaret E. Tolley, hereinafter referred to as "Claimants": Randy Scott Zelin, Esq. of the law firm of Blodnick, Gordon, Blodnick & Zelin

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01674 Rickerd Family Trust, claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., and James Beatty, respondents. ATTORNEYS: Claimant Rickerd Family Trust through its trustee, appeared Pro Se, Randle, WA. For Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., and James Beatty, appeared in-house counsel Michael E. Chasen, Esq., New York, NY. DATE F

Amended Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Taylor King, Individually and as Executor of the Estate of Mary Lou King Case No. 99-01673 Names of Respondents Whale Securities Co., L.P. William G. Walters Joseph E. Haick Donald J. O'Connor George P. Bisnoff REPRESENTATION OF PARTIES For Claimant Taylor King, Individually and as Executor of the Estate of Mary Lou King (the "decede

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Taylor King, Individually and as Executor of the Estate of Mary Lou King Case No. 99-01673 Names of Respondents Whale Securities Co., L.P William G. Walters Joseph E. Haick Donald J. O'Connor George P. Bisnoff REPRESENTATION OF PARTIES For Claimant Taylor King, Individually and as Executor of the Estate of Mary Lou King (the "decedent"), her