Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jason H. Blum (Claimant) v. Bear Stearns & Co., Inc., Steven M. Dantus, and Steven Sheresky (Respondents) Case Number: 00-03484 Hearing Site: New York, New York f Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Jason H. Blum, hereinafter referred to as "Claimant": Jeffrey Zimmerman, Esq., Liddle & Robinson, New Yo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Raymond J. Spasiano, (Claimant) vs. 1717 Capital Management Company, (Respondent) Case Number: 00-00357 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, Raymond J. Spasiano, hereinafter referred to as "Claimant": Donald G. McGrath, Esq., Falk & Siemer, LLP, Buffalo, NY. Respondent, 1717 Capital Management Company, hereinafter referred to as "Respondent":

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Sacate Pellet Mills, Inc. and 99-01672 Scottsdale, Arizona Name of Respondents Capital West Investment Group,- Inc. Lawrence L. Kohler REPRESENTATION OF PARTIES Sacate Pellet Mills, Inc. ("Claimant") was represented by Robert D. Mitchell, Esq., Mitchell Law Offices, Phoenix, Arizona. Capital West Investment Group, Inc. ("Respondent Capital West") an

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC CASE: 99-01664 Ronald G. Bourgeois, claimant vs. Charles Schwab & Company, Inc., respondent. ATTORNEYS: Claimant Ronald G. Bourgeois appeared Pro Se, Santa Fe, NM. For Respondent Charles Schwab & Company, Inc. appeared in-house counsel Sean B. Meehan, Esq., San Francisco, CA. DATE FILED: 04/09/99 CASE SUMMARY: Claimant alleged on January 13, 1999 he placed an order

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01662 Marvin H. Zelkin, claimant vs. American Investment Services, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se., Chicago, IL. For Respondent appeared Thomas D. Birge, Esq. of the firm Birge & Mayers, P.C., Denver, CO. DATE FILED: 04/09/99 CASE SUMMARY: Claimant alleged that Respondent breached their employment contract. Claimant maintained th

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Raoul A. Lim, (Claimant) vs. Saratoga 21st Ltd. d/b/a Purshe Kaplan Sterling Investments, John Peter Purcell, Peter John Sheehan, Peter Lorenzo Gill, Sheehan & Purcell Asset Management, Inc., Sheehan & Purcell Securities, Inc., and Saratoga Holding Company, LLC, (Respondents) Case Number: 99-01658 Hearing Site: Albany, New York REPRESENTATION OF PARTIES Claimant, Raoul A. Lim ("Li

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Flynn D. Case, Claimant vs. Baxter, Banks & Smith, Ltd., F. Martin McDermott and Kevin Ruggiero, Respondents. Case Number: 99-01653 Hearing Site: Portland, OR REPRESENTATION OF PARTIES Claimant, Flynn D. Case (hereinafter referred to as "Claimant"): Keith L. Hayes, Esq., Post Office Box 982, Salem, OR 97308. Respondent, Baxter, Banks & Smith, Ltd. (hereinafter "Respondent

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Names of Claimants: Raymond and Claire Gordin Names of Respondents: Raymond James & Associates, Inc. and Greg David Martin Case No: 99-01651 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Raymond and Claire Gordin hereinafter collectively referred to as "Claimants": Russell L. Forkey, Esq., Russell L. Forkey, P.A., Fort Lauderdale, F

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tova Rosen, (Claimant) vs. Argent Securities, Inc. and Abraham Gutterman, (Respondents) Case Number: 99-01643 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Tova Rosen ("Rosen")* hereinafter referred to as "Claimant": John M. Schwartz, Esq., Herzfeld £ Rubin, P.C., New York, NY. Respondent, Argent Securities, Inc. ("Argent"): Matthew Tracy, Esq., Winget,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE; 99-01640 Robert J. Bucher and Susan Bucher, claimants vs. Ameritrade, Inc., respondent. ATTORNEYS: For Claimants Robert J. Bucher and Susan Bucher, appeared Daniel B. Pierson, V, Esq., of the firm, Heaney & Associates, King of Prussia, Pennsylvania. For Respondent Ameritrade, Inc., appeared in-house counsel, James J. Vihstadt, Esq., Bellevue, Nebraska. DATE F