Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mitch Wine, Harold Wine, and Hareton Sales & Marketing, Inc., Claimants v. J.B. Oxford & Co., Inc., Christopher Lee Jarratt, J.B. Oxford Holdings, Inc., and James G. Lewis, Respondents Case Number: 99-01521 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: For Respondents J.B. Oxford & Co., Inc., Christopher Lee Jarratt, and James G. Lewis

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Pennington Family Trust and 99-01519 Phoenix, Arizona Name of Respondents Berry-Shino Securities, Inc. Robert L. Berry Ralph M. Shino Paul W. Osman Nature of the Dispute: Customer vs. Member and Associated Persons, REPRESENTATION OF PARTIES Pennington Family Trust ("Claimant") was represented by Michael Salcido, Esq., Renaud Cook Drury Mes

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Vicki L. Chambers Case No. 99-01518 Name of Respondent Dean Witter Reynolds, Inc. d/b/a Morgan Stanley Dean Witter REPRESENTATION OF PARTIES For Vicki L. Chambers, hereinafter referred to as "Claimant": Stanley E. Marable, Esq., Sarasota, FL. For Dean Witter Reynolds, Inc. d/b/a Morgan Stanley Dean Witter ("Dean Witter"), hereinafter referre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nicholas Zecchino Jr. and Donato Zecchino (Claimants) v. Quest Capital Strategies, Inc., Northeast Securities, Inc., Richard A. Skinner t/a RAS Financial Services, an unincorporated entity, David Yu, Carol Tsei a/k/a Carol Yu, Joyce Lubbers, National Financial Services Corporation, and Bear Stearns Securities Corp. (Respondents) and Nicholas and Anita Lupo, Dino Farnese, Rocco Genca

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION INC. CASE: 99-01516 John Edward Grille, II, claimant vs. Charles Schwab & Co., Inc., Stacey Brandenburg & Jeff Meyers, respondents. ATTORNEYS: Claimant, John Edward Grillo, II, appeared Pro Se., Eighty Four, PA. For Respondents, Charles Schwab & Co., Inc., Stacey Brandenburg and Jeff Meyers, appeared in-house counsel, Mauricio S. Beugelman, Esq., San Francisco, CA. DATE FILED: March 6, 1999 C

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: TDI, Inc., (Claimant) vs. Eugene Dinelli, (Respondent). Case Number: 99-01513 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, TDI, Inc., hereinafter referred to as "Claimant": John Strine, Vice President of TDI, Inc. in the pleadings and Douglas Williams, Vice President of TDI, Inc., Englewood, Colorado, at the hearing. Respondent, Eugene Dinelli, hereinafter refe

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Fulton V. Clark, Jr. Case No. 00-03454 Names of Respondents FFP Securities, Inc. William Chesley Sowell, IV William C. Sowell d/b/a Sowell, Rownd & Associates The Financial Advisory Group Mendel/Sowell Capital Management, Inc. Hearing Site: New Orleans, LA REPRESENTATION OF PARTIES For Fulton V. Clark, Jr., hereinafter referred to as "Cl

Award iNASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Adrian S. McOmber, Claimant vs. Bruce Howard Chmara, Respondent. Case Number: 99-01505 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Adrian S. McOmber ("McOmber"), hereinafter referred to as "Claimant": Craig S. Fox, Esq., King, Snell, Mildwurrn & Fox, Fremont, California Respondent, Bruce Howard Chmara ("Chmara"), hereinafter referred to as "Res

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Connie Winokur and Debbie Winokur, Claimants v. Great Western Financial Securities Corporation and Washington Mutual Bank, Respondents Case Number: 99-01502 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Richard Tanzer, Esq. Law Offices of Richard Tanzer Glendale, California For Respondents: Anthony F. Pantoni, Esq. Law Offices of An

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Charles P. Callaway, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith Inc. and Bruce W. Gulp (Respondents). Case Number: 99-01499 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Charles P. Callaway ("Claimant"): Robert L. Yeager, Esq.: Law Office of Robert L. Yeager, Dallas, Texas. Respondent, Merrill Lynch, Pierce, Fenner Smith Inc. ("Respondent Merrill Ly