Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Marie Ann Elliott individually and as Trustee of the Marie Ann Elliott Charitable Remainder Unitrust Case No. 99-00834 Names of Respondents Dean Witter Reynolds, Inc. Hill, Crawford & Lanford, Inc. Sterne, Agee & Leach, Inc. Darin Bryant Shea Robert Louis Lanford / REPRESENTATION OF PARTIES For Marie Ann Elliott individually and as Trustee o

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Lynn Tilton (Claimant) vs. Marc Lasry and Amroc Investments, Inc. (Respondents) Case Number: 99-00833 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Lynn Tilton, hereinafter referred to as "Claimant": Daniel J. Brooks, Esq., Layton, Brooks & Hecht, New York, New York. Respondents. Amroc Investment Inc. ("Amroc") and Marc Lasry, ("Lasry") hereinafter co

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Michael Minelli v. E*Trade Securities, Inc. Case Number: 99-828 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, Michael Minelli ("Minelli") , hereinafter referred to as "Claimant": Michael S. Clawson, Esq., Hardy Lewis & Page, P. C. t Birmingham, Michigan. Respondent, E*Trade Securities, Inc. (E*Trade), hereinafter referred to as "Respondent": Paul

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Emmett J. Harty, (Claimant) vs. Cantor Fitzgerald & Co., Inc., (Respondent) Case Number: 99-00824 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Emmett J. Harty, hereinafter referred to as "Claimant": Edward V. O'Hanlon, Esq., Robinson & Cole, LLP, Stamford, CT. Mr. O'Hanlon was with the law firm of O'Rourke O'Hanlon & Zimmermann, LLP, New Canaan, CT, when this

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-00822 Sandra Spincola, claimant vs. Waterhouse Securities, Inc., respondent. ATTORNEYS: For Claimant appeared Kevin P. Conway, Esq., of the firm Conway & Conway, New York, NY. Respondent appeared through its Assistant Counsel, Janis Campanella, Esq., New York, NY. DATE FILED: 2/24/99 ~~~~~~ CASE SUMMARY: Claimant alleged that after claimant placed an order

Award NASD Dispute Resolution, Inc. in the Matter of the Arbitration Between ft nf ffflimflnf Estate of Lauren W. Wolfe Case No. 00-03351 J.C. Bradford & Co., n/k/a Paine Webber, Inc. Mark E. Considine Martin J. Bannon III Hearing Sitff- Baltimore, MD Claimant, Estate of Lauren W. Wolfe, hereinafter referred to as "Claimant": Robert A. Kantas,^: K-tuu.- Esq., Michie, Hamlet, Lowry, Charlottesville, VA. : ' Miobie, H > Respondents

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00818 Merrill Lynch, Pierce, Fenner & Smith, Inc., claimant vs. George Block individually, and d/b/a Block and Associates, respondents. ATTORNEYS: For Claimant appeared Suzanne S. Killian, Esq. and Jack D. Ballard, Esq. of the firm Ogden, Gibson, White & Broocks, L.L.P., Houston, TX. Respondents failed to file a Statement of Answer. DATE FILED: 2/23/99

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: 'Kamlesh Chopra v. Waterhouse Securities, Inc. Case Number: 99-817 Hearing Site: Detroit. Michigan REPRESENTATION OF PARTIES Claimant, Kamlesh Chopra ("Chopra"), hereinafter referred to as "Claimant": Edward M. Olson, Esq., Velarde Sugameli & Olson, P.L.C., Troy, Michigan. Respondent, Waterhouse Securities, Inc. fWaterhouse"), hereinafter referred to as "Respondent": Mark L. Kowal

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Craig Birkelbach Case No. 99-00813 Names of Respondents The Boston Group, L.P. Robert A. Diminico Kye Hellmers Name of Third-Party Respondent Clifford Mastricola REPRESENTATION OF PARTIES For Craig Birkelbach ("Birkelbach"), hereinafter referred to as "Claimant": Dan A. Druz, Esq., Manasquan, New Jersey. For Respondents The Boston Gr

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Thomas J. Geisse and 99-00807 Indianapolis, Indiana Name of Respondents Paine Webber, Inc. Richard C. Lenihan REPRESENTATION OF PARTIES Thomas J. Geisse ("Claimant") was represented by Joseph L. Claypool, Esq., Ancel & Dunlap, LLP., Indianapolis, Indiana. Paine Webber, Inc. ("Respondent Paine Webber") and Richard C. Lenihan ("Respondent") were r