Award NASD Regulation, Inc. in the Matter of the Arbitration Between: Dean Witter Reynolds, Inc. vs. Keith A. West Case Number: 99-1203 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, Dean Witter Reynolds, Inc. ("DWR"), hereinafter referred to as "Claimant": Jean Vierre Adams, Esq., Honigman Miller Schwartz and Cohn, Detroit, Michigan. Respondent, Keith A. West ("West"), hereinafter referred to as "Respondent": Anthony V. Tro

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: William W. Burke, (Claimant) vs. Everen Securities (Respondent). Case Number: 99-01200 Hearing Site: Dallas. Texas REPRESENTATION OF PARTIES Claimant, William W. Burke ("Claimant"): Geoffrey H. Bracken, Esq. Gardere Wynn Sewell & Riggs, L.L.P., Dallas, Texas. Respondent, Everen Securities, n/k/a First Union Securities, Inc. ("Respondent"): Retta A. Miller, Jackson & Walker, L.L.P.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Annabelle I. Johnsen and Arthur J. Johnsen, Claimants v. Michael D. Montgomery and Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondents Case Number: 00-03411 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: William R. Walton, Esq. Attorney at Law Tacoma, Washington F

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Frederic A. and Janet Lee Horowitz, (Claimants) vs. Edward D. Jones & Co. and Bruce C. Pierce, (Respondents). Case Number: 99-01199 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES Frederic A. and Janet Lee Horowitz "Claimants": Shannon L. McDougald, Esq., Perkins Cole LLP, Seattle Washington. Edward D. Jones & Co. "EDJ": Michael R. Scott, Esq., Hillis, Clark, Martin &

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Peter A, Bouchard and Name of Respondents Baxter Banks &. Smith, Ltd. Michael Anthony Boston Kevin John Ruggiero Francis Martin McDermolt Maurizio Virginio Grammatica John McGowan, HI CharlesMasi Robert John Ogilvie 99-01198 Chicago, Illinois REPRESENTATION OF PARTIES^ - -5 Peter A. Bouchard ("Claimant") was represented b

Award NASD Dispute Resolution, Inc. _. [-•" ;r.N.MAssociATic;j -0-; i^'JKITIKS DEALERS It^ n i^EUTO'T < ( ' ' Utfr:-,«o, BI ill In the Matter of the Arbitration Between: Edwina Von Jagla, Claimant vs. David Noyes & Company and Gregory Keith, Respondents. Case Number: 99-01194 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Edwin Von Jagla hereinafter referred to as "Claimant", was represented by Sean Greenwoo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Vladimir and Anna Golovchinsky, Claimants v. Jack Arcadly Belikoff and Donaldson, Lufkin & Jenrette Securities Corporation, Respondents Case Number: 99-01192 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Jonathan Schwartz, Esq. Law Office of Jonathan Schwartz Marina Del Rey, California For Respondents: Susan L. Hoffman, Esq. McCutch

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01191 Gustavo Compagnoni and Ofelia Volonterio, claimants vs. NDB National Discount Brokers, respondent. ATTORNEYS: Claimants Gustavo Compagnoni and Ofelia Volonterio (Claimants 1 *), appeared Pro Se., Montevideo, Uruguay. For Respondent NDB National Discount Brokers ("Respondent"), Douglas P. Lobel, Esq., Kelley Drye & Warren LLP, Washington, Dist

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Oaimant William C. Gilbert Case No. 99-01188 Name of Respondent BB & T t/a Craigie Inc. (n/k/a Scott & Stringfellow, Inc.) REPRESENTATION OF PARTIES Claimant, William C. Gilbert, hereinafter preferred to as " Claimant ""^as, represented by James B. Thorsen, Esq., of the law firm of Thorsen, Marchanf & Scher, LLP,'Richmond, Virginia. * - - K • _-' Respondent, BB&T I/

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01182 Barbara C. Billig, claimant vs., E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se., Calabasas, CA. Respondent, E*Trade Securities, Inc. appeared through its Senior Compliance Analyst, Bob Salvador, Palo Alto, CA. DATE FILED: 3/15/99 CASE SUMMARY: Claimant alleged breach of fiduciary duty; negligence; deliberate limited tr