N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01180 M.H. Meyerson & Co.. Inc., claimant vs. Gerald North and Carmela North, respondents ATTORNEYS: For Claimant M.H. Meyerson & Co., Inc. ("Claimants"). Jay I. Lazerowitz, Glen Rock, New Jersey. Respondents Gerald North and Carmela North (collectively, "Respondents"), did not respond to the Statement of Claim. DATE FILED: 03/15/1999 CASE SUMMARY: Cla

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Suzanne Hall, (Claimant) vs. Larisa Kifer and First Allied Securities, Inc, (Respondents) Case Number: 99-01179 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Suzanne Hall, hereinafter referred to as "Claimant": Warren Wynshaw, Esq., Mohopac, New York. Respondent, Larisa Kifer ("Kifer"): Edward M. Gould, Esq., Islip, New York. Respondent, First Allied Securit

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Craig D. Watson v. Ameritrade, Inc. Case No. 00-03410 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Claimant: Tim B. Wright, Esq. Warner, Fox, Wackeen, Dungey, Seeley Sweet, Wright & Beard, L.L.P. Stuart, Florida For Respondent: James J. Vihstadt, Esq. Ameritrade, Inc. Bellevue, Nebraska CASE INFORMATION Statement of Claim filed on or

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Stephen Goldfarb Birgit C. Wittkopf Case No. 99-01176 Names of Respondents Gruntal & Co., L.L.C. Michael McAfee REPRESENTATION OF PARTIES For Stephen Goldfarb ("Goldfarb") and Birgit Wittkopf ("Wittkopf"), hereinafter collectively referred to as "Claimants": Richard A. Stephens, Esq., Boca Raton, Florida. For Gruntal & Co., L.L.C. ("Gruntal") and

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Douglas Kent Winston Case No. 99-01175 Names of Respondents A.G. Edwards & Sons, Inc. Charles "Doc" Long, Jr. Emile Alexander Bizot, III REPRESENTATION OF PARTIES Douglas Kent Winston, hereinafter referred to as "Claimant", appeared pro se. For A.G. Edwards & Sons, Inc. ("AGE"), Charles "Doc" Long, Jr. ("Long"), and Emile Alexander Bizot, II

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Hope A. Frohboese vs. Case No. 99-01174 Name of Respondents John T. West, IV ! Kimberly J. Zirkle Craigie Inc. REPRESENTATION OF PARTIES Claimant Hope A. Frohboese referred to as "Claimant" appeared pro se. Respondents John T. West, IV ("West"), Kimberly J. Zirkle ("Zirkle") and Craigie Inc. ("Craigie") hereinafter referred to collec

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Michael B. Arouh, (Claimant) vs. Fidelity Brokerage Services, Inc., Fidelity Investments, Edward C. Johnson, III, and Gregory W. Evans, (Respondents) Case Number: 99-01173 REPRESENTATION OF PARTIES Claimant, Michael B. Arouh, hereinafter referred to as "Claimant", appeared pro se. Respondents, Fidelity Brokerage Services, Inc. ("Fidelity Brokerage"), Fidelity Investments ("Fidelit

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David R. and Candyce A. Butz, Claimants, v. Erick Kuebler and Bear Stearns & Co., Inc. Respondents Case Number: 99-01164 Hearing Site: St. Louis, MO REPRESENTATION OF PARTIES Claimants David R. Butz and Candyce A. Butz, (hereinafter referred to as "Claimants") were represented by David B. Helms, Esq. of Lewis, Rice & Fingersh, L.C., St. Louis, Missouri. Respondents Eri

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John Allen, Patricia Lynn Allen, and John Gittins, Claimants v. Foster Jeffries Securities, LLC, Charles Albert DaCruz, Sean Peter McManus, George Michael Greco, Jr., Thomas Charles Dunn, Dominick Palermo, Matthew Joseph Schonberg, Robert Steven Thomas, Michael Scott Weiner, Harvey Joel Latzen, George Robert Goldman, Jr., Steven Lee Karno, Kevin Charles Held, Thomas Maiorana, Thom

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Bettina M. Hartwig (Claimant) vs. Shashin J. Patel, Carlin Equities Corporation, Reliance Capital, Inc., and Generic Trading of Philadelphia (Respondents) Case Number: 99-01159 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Bettina Hartwig ("Hartwig"): James J. Eccleston, Esq., Eccleston & Associates, P.C., Roseland, New Jersery Respondent Shashin J. Patel ("Pa