Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Barbara Brandfass, (Claimant) vs. Deutsche Bank Securities, Inc. and Deutsche Bank, A.G., (Respondents) Case Number: 99-00089 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Barbara Brandfass, hereinafter referred to as "Claimant": Wayne N. Outten, Esq., Outten & Golden LLP, New York, NY. Respondents, Deutsche Bank Securities, Inc. ("DBSI") and Deutsche Bank,

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Morris E. and Sharon K. Cordes Morris E. Cordes Sharon K. Cordes Morris & Sharon Cordes fbo Danielle Cordes Morris & Sharon Cordes fbo Ryan Cordes and 99-00087 Denver, Colorado Name of Respondents Adams Davis Co. Sean Mueller REPRESENTATION OF PARTIES Morris E. and Sharon K. Cordes Morris E. Cordes, Sharon K, Cordes, Morris & Sharon Cordes

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of'Claimants Jane Leonard, as Trustee of the Christopher J. Leonard Revocable Trust, and Christopher J. Leonard, individually, and as sole beneficiary of the Christopher J. Leonard Revocable Trust Case No. 99-00083 Names of Respondents J. C. Bradford & Co. Michael Anderson Williams REPRESENTATION OF PARTIES For Christopher J. Leonard, individually

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant I.V. Funding, Inc. Case No. 99-00079 Names of Respondents A.G. Edwards & Sons, Inc. Jeremy Duck REPRESENTATION OF PARTIES For Claimant I.V. Funding, Inc., hereinafter referred to as "Claimant": Dan W. Taliaferro, Esq., Montgomery, Alabama. For Respondent A.G. Edwards & Sons, Inc. ("Edwards"): Jeff Jamieson, Associate Vice President & Counsel, A.G. E

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Mark R. Mueller, (Claimant) vs. Gairt^s Berland Inc., Alan Gaines and Arthur M. Coffee (Respondents). Case Number: 99-00076 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Mark R. Mueller, ("Claimant"): Gerald S. Siegmyer, Esq. and David E. Sharp: Attorney at Law, Houston, Te^as. Respondents, Gaines, Berland, Inc., ("Respondents"): Mark Astarita,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Roland C. Nivette, Sr., Individually and as Trustee of the Roland C. Nivette, Sr. Trust and Rosalyn Reiss Nivette, Individually and as Trustee of the Rosalyn Reiss Nivette Trust (hereinafter Roland C. Nivette, Sr. and Rosalyn Reiss Nivette), Claimants v. Amerivet Securities, Inc. and Peter M. Landay, Respondents. Case Number: 99-00075 Hearing Site: Los Angeles, California REPRESENTATI

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David R. Davis n, Claimant v. H.D. Brous & Co., Inc., Respondent Counterclaim: H.D. Brous & Co., Inc., Counterclaimant v. David R. Davis n, Counter-Respondent Case Number: 00-03256 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: David R. Davis n In Pro Per .,, Sherman Oaks, California For Respondent;. ; AlanS. Petlak t

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-00066 Pedro Nieves and Maria Castro Nieves, claimants vs. Quick &. Reilly, Inc., respondent. ATTORNEYS: Claimants, Pedro Nieves and Maria Castro Nieves, appeared Pro Se., Bronxville, NY. For Respondent, Quick & Reilly, Inc., appeared in-house counsel Douglas S. Flaherty, Esq. New York, NY. DATE FILED: January 7, 1999 " " " " CASE SUMMARY: Claimants alleged that Quick and Reilly fai

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants The Betty H. Long Living Trust The Estate of Everett N. Long vs. Case No. 99-00063 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc. Robert H. Sullivan REPRESENTATION OF PARTIES Claimants The Betty H. Long Living Trust ("Trust") and The Estate of Everett N. Long ("Estate"), hereinafter collectively referred to as "Claimants": John P. Connoll

Award NASD Dispute ResolutioMnc. In the Matter of the Arbitration Between: First of Michigan Corporation vs. Erik Hume Case Number: 99-58 Hearing Sijg: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, First of Michigan Corporation ("FOMC"), hereinafter referred to as "Claimant": A. Michael Palizzi, Esq. and Michael Coakley, Esq., Miller, Canfield, Paddock & Stone, PLC. Respondent Erik Hume ("Hume"), hereinafter referred to as "Respondent": David Ja