Award NASD Regulation, Inc. In the Matter of the Arbitration Between; Hutchison Brothers Partnership, Ltd. v. Dain Rauscher, Inc. and R. Leon Lehr Case Number: 99-867 Simplified Arbitration: Omaha, Nebraska REPRESENTATION OF PARTIES Claimant Hutchison Brothers Partnership, Ltd. ("Hutchison") hereinafter referred to as "Claimant": Charles W. Austin, Jr., Esq., Richmond, Virginia. Respondents, R. Leon Lehr ("Lehr") and Dain Rauscher, Inc. ("DR"), hereinaf

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Richard N. Yeats, Claimant v. Waterhouse Securities, Inc., Respondent Case Number: 99-00865 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Paul W. Thomas, Esq. Paul W. Thomas & Associates Carlsbad, California For Respondents: Michael J. Abbott, Esq. Catherine L. Dellecker. Jones, Bell, Abbott, Fleming & Fitzgerald Los Angeles

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-00861 Doumit Y. Elkartabani, claimant vs. DLJ Direct, Inc., A. Donaldson, Lufkin and Jenrette Company, respondent. ATTORNEYS: Claimant Doumit Y. Elkartabani ("Claimant"), appeared Pro Se., Mobil, AL. For Respondent DLJ Direct, Inc. ("Respondent"), A. Donaldson, Lufkin and Jenrette Company, David J. Campbell, Esq., Senior Vice President and Assistant General Co

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Royal Alliance Associates, Inc. Name nf the Respondent Marie E. Roland f!flgft r: 00-03352 Site: Norfolk, Virginia REPRESENTATION OF PARTIES Claimant Royal Alliance Associates, Inc., hereinafter referred to as "Claimant", was represented by Gregory M, Curley, Esq., Royal Alliance Associates, Inc., New York, New York. Respondent Marie E. Rolan

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Fidelity Brokerage Services, Inc., Claimant, v. Mohammed Zackaria Memnon, Respondent Case Number: 00-00353 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Fidelity Brokerage Services, Inc. (hereinafter referred to as "Claimant") was represented Lawrence K. Richmond, Esq. of Quincy, MA. Respondent, Mohammed Zakaria Memnon, (hereinafter referred to as "Respondent"

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00857 Debra A. Engel, claimant vs. Olde Discount Corporation and James Preshong, respondents. ATTORNEYS: Claimant Debra A. Engel ("Claimant"), appeared Pro Se., Vancouver, WA. For Respondents Olde Discount Corporation and James Preshong (collectively, "Respondents"), David S. Kempers, in-house counsel for Olde Discount Corporation, Detroit, MI. DATE FILED: 2/2

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Charles P. and Jane E. Adkins Adkins & Co., Inc. Name of Respondents NASD Case No. 99-00850 Hearing Location: Washington, D.C. Philip E. Teseo Victor M. Wang REPRESENTATION OF PARTIES Claimants Charles P. Adkins, Jane E. Adkins, and Adkins & Company, Inc. ("Claimants"): John P. Connolly, Esq., Alexandria, Virginia. Respondent Philip E. Teseo ("

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Alan K. Beinhacker, (Claimant) vs. Janney Montgomery Scott and Lawrence Doyle, (Respondents) Case Number: 99-00844 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant Alan K. Beinhacker, hereinafter referred to as "Claimant" appeared pro se. Respondents Janney Montgomery Scott ("IMS") and Lawrence Doyle ("Doyle"), hereinafter collectively referred to as "Respondents": Th

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Keng-Yin Wong, Claimant v. Charles Schwab & Co., Inc., and Joseph Wong Respondents Charles Schwab & Co., Inc., Counter-Claimant v. Keng-Yin Wong Counter-Respondent Case Number: 99-00842 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Libby Wong, Esq. Irvine, California For Respondents: Ekwan E. Rhow, Esq. Bird, Marella, Boxer & Wolpert

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jay Kiessling and Sharon Kiessling (Claimants) vs. E*Trade Securities, Inc. (Respondent) Case Number: 99-00839 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Jay Kiessling and Sharon Kiessling, ("Kiessling"), hereinafter collectively referred to as "Claimants": James J. Eccleston, Esq., Eccleston & Associates, Chicago, Illinois. Respondent E*Trade Securities, Inc. (