Award NASD Dispute Resolution In the Matter of the Arbitration Between: Walsh Manning Securities, LLC, (Claimant) vs. Morgan Wilshire Securities, Inc., Michael Finnan, and Barry Cassese, (Respondents) vs. Paul Wasserman, Craig Gross, James Shanley, Frank Skelly, HI, and Thomas Hack (Third-Party Respondents) Case Number: 99-00897 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Walsh Manning Securities, LLC, hereinafter referred to as

r Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Mikaehl Bagherian Case No. 99-00895 Name of Respondents First Asset Management LeeRoy Allen M.S. Farrell & Co. REPRESENTATION OF PARTIES Claimant Mikaehl Bagherian ("Claimant") was represented by David A. Holzman, Esq. of the law firm of Lepon McCarthy White & Holzworth, PLLC, Washington, D.C. Respondent LeeRoy Allen ("Allen") represen

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Claimant Albert A. Pacelli, as Trustree for the Albert A. Pacelli Trust v. Rothschild Investment Corporation Byron R. Marshall and Counter Claimant Rothschild Investment Corporation v. Counter Ftespnndfint Albert A. Pacelli, as Trustee for the Albert A. Pacelli Trust asQ Nlnmher 00-03355 Hearing Rite; Chicago, Illinois RFPRFfiFMTATIOM OF PARTIFR Alber

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Michael L. Bazzone, Jr. t/d/b/a/, Bazzone Insurance Agency, Claimant v. Nationwide Mutual Insurance Company Nationwide Mutual Fire Insurance Company Nationwide General Insurance Company Case No. 99-00891 Nationwide Property and Casualty Insurance Company, and Nationwide Variable Life Insurance Company n/k/a Nationwide Life and Annuity Company, Ann Cook-T

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Robert K. Maturi and Patricia J. Maturi and 99-00890 Name of Respondent Edward D. Jones & Co. REPRESENTATION OF PARTIES Robert K. Maturi and Patricia J. Maturi ("Claimants") appeared pro se. Edward D. Jones & Co. ("Respondent") was represented by Lisa A. Nielson, Esq., Greensfelder, Hemker & Gale, P.C., St. Looouis, Missouri. CASE INFORMATION The S

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Paul J. Witten Case No. 99-00888 Names of Respondents Daniel Martin Ciez VTR Capital, Inc. REPRESENTATION OF PARTIES For Paul J. Witten ("Witten"), hereinafter referred to as "Claimant": Eric A. Lanigan, Esq., Winter Park, Florida. For Daniel Martin Ciez ("Ciez"): Ruthann G. Niosi, Esq. of the Law Offices of Ruthann G. Niosi, Esq., P.C., New

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Foresight Capital Management, Inc., Claimant v. Greg Escalante, Michael Hines, John Bruscia, Nader Mokri, Sarah H. Lewis, and James W. Geniere, Respondents and related Counterclaim and Third-Party Claim Case Number: 99-00884 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Foresight Capital Management, Inc. and Third-Party Respondent Robert

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Steven A. Johnson, Claimant vs. Prudential Securities Incorporated and Timothy Redpath, Respondents. Case Number: 99-00882 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES Claimant, Steven A. Johnson, hereinafter referred to as "Claimant": Steven A. Johnson, Tacoma, Washington Respondents, Prudential Securities Incorporated ("PSI") and Timothy Redpath ("Redpath"), h

«S.." ! « FA * NASD REGULATION NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant BA INVESTMENT SERVICES, INC. vs. Award No. 99-00876 Name of Respondent STANFORD GROUP COMPANY REPRESENTATION For Claimant: BA Investment Services, Inc. ("BAIS* or "Claimant") was represented by Myall S. Hawkins, Jenkens & Gilchrest, P.C, 1100 Louisiana, Suite 1800, Houston, Texas 77002 For Respondent: Stanford

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Diane C. Bernier, and Diane C. Bernier, Trustee and 99-00868 Troy, Michigan First of Michigan Corporation, and Mark A. Casebolt REPRESENTATION OF PARTIES Diane Bernier, individually, and Diane C. Bernier, Trustee ("Claimant") was represented by James C. Steffi, Esq., Steffi, Flood & Gerlach, Troy, Michigan. First of Michigan Corporation ("FOMC") and Mark A. Case