N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 98-03858 Helen Ching Chiu Lee, claimant vs. Wise Choice Discount Brokerage, Inc., and Ralph Anteby respondents. ATTORNEYS: For Claimant Helen Ching Chiu Lee, appeared Raymond H. Wong, P.C., New York, New York. Respondent Wise Choice Discount Brokerage, Inc., did not respond to the Statement of Claim. Respondent Ralph Anteby did not respond to the Statement of

AWARD NASD Regulation, Inc. NASD CASE NO.: 98-03852 Charles Schwab & Co,, Inc., Claimant vs. David S. Batchelder, Respondent REPRESENTATION: For Claimant: Diane C. Fischer, Esq. and Linda A. Gallagher, Esq. of Gomberg Kane & Fischer, Ltd., Chicago, Illinois, For Respondent: Mark P. Dugan, Esq. of O'Connor, Morss & O'Connor, P.C., Elizabeth, New Jersey. DATE FILED: October 16, 1998 CASE SUMMARY: Claimant ("Schwab") alleged the following: On o

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Richard Titlebaum and Joanne Lippert vs. Case No. 98-03845 Name of Respondent Janney Montgomery Scott Inc. REPRESENTATION OF PARTIES Claimants, Richard Titlebaum (Titlebaum") and Joanne Lippert ("Lippert"), hereinafter collectively referred to as "Claimants": Morgan W. Bentley, Esq., Newark, New Jersey Respondent, Janney Montgomery Scott Inc., hereinafter

STIPULATED AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants James H. Sandlin and James L. Sandlin and 98-03843 Indianapolis, Indiana Name of Respondents Olde Discount Corporation Michael Van Asten REPRESENTATION OF PARTIES James H. Sandlin and James L. Sandlin ("Claimants") were represented by Jeffrey V. Gery, Esq., Maddox, Koeller, Hargett & Caruso, Indianapolis, Indiana. Olde Discount Corporati

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. § § BEAR, STEARNS & CO. INC., § § Claimant § vs. § NO. 98-03842 § AMARILLO ENERGY COMPANY § AND WILLIAM SPILLMAN § § Respondents. § § STIPULATED AWARD Claimant, Bear, Steams & Co. Inc., were represented by Cheryl Jerome Moore and David R. Clouston of Arter & Hadden, LLP, located in Dallas, Texas. Respondents, William Spillman and Amarillo Energy, were represented by William

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Ivar M. Vedsted, Zonie C, Vedsted, and the Vedsted Family Trust, Claimants v. Titan Value Equities Group, Inc. and Raymond William DeMott, Respondents Case Number: 98-03841 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants Ivar M. Vedsted, Zonie C. Vedsted, and the Vedsted Family Trust: For Respondents Titan Value Equities Group, Inc. and Raymon

STIPULATED AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Joseph G. Dawson Case No. 98-03839 Names of Respondents Olde Discount Corporation James Thomas Falardeau REPRESENTATION OF PARTIES For Claimant: Darren C, Blum, Esq. of Philip J. Feldman & Associates, North Miami, Florida. For Respondents Olde Discount Corporation ("Olde") and James Thomas Falardeau ("Falardeau"): David T. Doyle, Esq. of Olde

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 98-03833 Raymond E. Brown, claimant vs. Robert Binkele, and Ash & Co., Inc., respondents. ATTORNEYS: For Claimant Raymond E. Brown ("Claimant"), Gregory E. Deetman, Esq., Law Offices of Richard Deetman, Esq., San Diego, California. Respondent Robert Binkele ("Binkele"), appeared Pro Se., Indian Wells, California. Respondent Ash & Company, Inc. ("A&C"), did not re

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gene Schweitzer and Beverly Schweitzer, (Claimants) vs. PaineWebber, Inc., David R. Staff, and John Antonio, (Respondents) Case Number: 00-00350 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Gene Schweitzer and Beverly Schweitzer, hereinafter collectively referred to as "Claimants": Frederick E. Gerson, Esq., D'Alessandro, Jacovino & Gerson,

viASD Dispute Resolution, jnc Stipulated Award 'Bj^ NASD rx< JAN ] 0 In the Matter of the Arbitration Between: William M. Fox, (Claimant) v. ABN AMRO, Inc., Brian Foster, and Peter Wendell, (Respondents) Case Number: 00-00029 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant William M. Fox ("Fox"): Ware Adams, Esq. located in Chicago, Illinois. Respondent ABN AMRO, Inc. ("ABN AMRO, Inc."), Brian Foster ("Foster"), and Pe