Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Paul V. Ferraro Case No. 99-00804 Names of Respondents E*TRADE Securities, Inc. Michael A. Schoenberger REPRESENTATION OF PARTIES Claimant Paul V. Ferraro, hereinafter referred to as "Claimant", appeared pro se. For Respondents E*TRADE Securities, Inc. ("E*TRADE") and Michael A. Schoenberger ("Schoenberger"), hereinafter collectively referred to as "Res

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Gary Wetherhold Pamela "P.J." Wetherhold Case No. 99-00802 Name of Respondent Morgan Stanley Dean Witter, Inc. REPRESENTATION OF PARTIES For Gary Wetherhold and Pamela "P.J." Wetherhold, hereinafter collectively referred to as "Claimants": Joel Settembrini, Esq. and Jon L. Swergold, Esq. of Smith Hulsey & Busey, Jacksonville, Florida. For

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Eduardo Acuna, (Claimant) vs. Robert Cruces, Joseph Crispino, Edward Duffy, Briarwood Investment Counsel, and Hanifen, Imhoff Clearing Corp., (Respondents) Case Number: 99-00799 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Eduardo Acuna ("Acuna"), hereinafter referred to as "Claimant", appeared pro se. Respondent, Robert Cruces ("Cruces"), appeared pro se.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Wheat First Securities, Inc. Name of Respondents Larry Frascelia & David Frascella NASD Case No. 99-00796 Hearing Location: Philadelphia, PA REPRESENTATION OF PARTIES Claimant Wheat First Securities ("Claimant"): Brian A. Carlis, Esq., Stark & Stark, Princeton, New Jersey. Respondents Larry Frascella & David Frascella ("Respondents"): Nino V. Tinari, Es

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Pat Murphy, Claimant v. Dan Ostad, David Sayid, Fritz Capria, and Investors Associates, Respondents Case Number: 99-00788 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondent Dan Ostad: For Respondent David Sayid: Respondent Fritz Capria: For Respondent Investors Associates: Pat Murphy In Pro Per Pacific Palis

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Olde Discount Corp., Claimant vs. Michael C. Stamatellos, Respondent. Case Number: 99-784 Hearing Site: Detroit, Michigan - Simplified Arbitration REPRESENTATION OF PARTIES Claimant, Olde Discount Corp. "Claimant": Michael P. Knittel, Esq., Olde Discount Corp., Detroit Michigan. Respondent, Michael C. Stamatellos, "Respondent": did not appear. CASE INFORMATION Statement of Cla

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Evgeny SwarovskL Claimant v, Charles Schwab & Co., Inc., Respondent Case Number: 00-03343 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Evgeny Swarovski In Pro Per San Diego, California For Respondent: Curt H. Mueller, Esq. Charles Schwab & Co., Inc. San Francisco, California CASE INFORMATION Statement of Claim filed: August 3,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Alexander & Alexander Services, Inc., (Claimant) vs. J.P. Morgan Securities, Inc. and Joseph Warwick, (Respondents) Case Number: 99-00781 Hearing Site: New York, New York REPRESENTATION OF PARTIES -.;;;«- •• ^^W0^3M^M^^^MMB^*n»^^K^B^M^HB^^MB^^aKMS Claimant, Alexander & Alexander Services, Inc., hereinafter referred to as "Claimant": Robert J. Hausen, Esq., Robert J. Hausen

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant CliffS. Golob Case No. 99-00778 Name of Respondent Great Western Financial Securities Corporation n/k/a WM Financial Services, Inc. REPRESENTATION OF PARTIES For CliffS. Golob ("Golob"), hereinafter referred to as "Claimant": Marc S. Dobin, Esq. and Debra A. Jenks, Esq. of the law firm of Dobin & Jenks, LLP, Jupiter, Florida. For Grea

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00773 Access Financial Group, Inc., claimant vs. John Vazaois and William S. Platt, respondents. ATTORNEYS: Claimant, Access Financial Group, Inc. ("Access Financial"), appeared through its in-house counsel, Andrew May, Esq., Chicago, IL. Respondent, William S. Platt ("Platt"), appeared Pro Se., Boca Raton, FL. Respondent, John Vazaois ("Vazaois"), did not res