N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-03627 Diane Mauro, claimant vs. GKN Securities Corp., and Kevin Hughes, respondents. ATTORNEYS: For Claimant Diane Mauro appeared, Kevin T. McDermott, Esq., Goshen, New York. For Respondent GKN Securities Corp., appeared in-house counsel, Katherine Nathan, Esq., New York, New York. For Respondent Kevin Hughes, appeared Shelley Albert, Esq., of the firm, Castel

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Aaron F. Sears vs. Case No. 98-03620 Name of Respondents Barren Chase Securities Anthony F. Giordano REPRESENTATION OF PARTIES Claimant, Aaron F. Sears, hereinafter referred to as "Claimant" appeared pro se. Respondents, Barren Chase Securities ("Barren Chase") and Anthony F. Giordano ("Giordano"), hereinafter collectively referred to as "Respondents"

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Hedwig M. Mury, Individually and as Trustee of the Hedwig M. Mury Trust DTD 3/23/95 NASD Case No. 98-03616 Hearing Site: Tampa, Florida Names of Respondents Commonwealth Equity Services, Inc., First Associated Securities Group, Inc.' and Laurence W. Riebau REPRESENTATION OF PARTIES Claimant Hedwig M. Mury, individually and as Trustee of the Hedwig M

AWARD NASD Regulation, Inc Arbitration No. 98-03614 In the matter of the Arbitration Between Name of Claimant(s) Wedbush Morgan Securities, Inc. Name of Respondentfs) Doris Currington REPRESENTATION For Claimant: Chuck Oliver, Wedbush Morgan Securities, Inc. , Eugene, Oregon For Respondent: Doris Currington, Springfield, Oregon CASE INFORMATION Statement of Claim filed: September 23, 1998 Claimant's Submission Agreement signe

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Lloyd Wade Securities, (Claimant) vs. Lance Dalton (Respondent). Case Number: 98-03612 Hearing Site: Dallas. Texas REPRESENTATION OF PARTIES Claimant, Lioyd Wade Securities, Inc. ("Claimant"): Dan Waller, Esq. and Kim Shauk, Esq.: Secore & Waller, L.L.P., Dallas, Texas. Respondent, Lance Dalton. ("Respondent): unrepresented. CASE INFORMATION Statement of Claim filed on or abou

AWARD NASD Regulation, Inc. CASE: 98-03602 Derrick Gordon, claimant vs. La Jolla Capital Corporation and Ed Lawrence, respondents. ATTORNEYS: Claimant appeared Pro Se, Bronx, NY. For Respondents appeared Randall J. Lanham, Esq., San Diego, CA. DATE FILED: September 28, 1998 CASE SUMMARY: Claimant alleged respondent negligently disregarded his account, employed adverse pressure tactics to induce purchase of stock, and failed to execute a stop loss or

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant John D'Amato Case No. 98-03598 Name of Respondent Dean Witter Reynolds, Inc. REPRESENTATION OF PARTIES For John D'Amato ("D'Amato"), hereinafter referred to as "Claimant": Ronald Shindler, Esq. of Fowler, White, Burnett, Hurley, Banick and Strickroot, Miami, Florida. For Dean Witter Reynolds, Inc. ("DWR") hereinafter referred to as "Respondent": Joseph C.

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Ronald and Gerlinde Quiros 98-03595 Name of Respondent Fidelity Brokerage Services, Inc. REPRESENTATION Claimants appeared pro se. For Respondent Fidelity Brokerage Services, Inc. ("Fidelity"): Alicia Reines-Leo, Staff Attorney, Fidelity Brokerage Services, Incorporated, Boston, MA. On or about May 5, 1999, Keith OHn, Esq. of Morgan, Lewis & Bockius L

AWARD NASD Regulation, Inc. CASE: 98-03591 Michael J. Skinner, claimant vs. Terry Lee Lewis, Centex Securities, f.k.a. La Jolla Securities, respondents. ATTORNEYS: Claimant Michael J. Skinner appeared Pro Se., San Francisco, CA. Respondent Centex Securities Corporation appeared through its President, Craig M. Biddick, La Jolla, CA, Respondent Terry Lee Lewis appeared Pro Se., Irvine, CA. DATE FILED: 09/28/1998 CASE SUMMARY: Claimant alleged

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kenneth Schuette and Phyllis Schuette, Claimants v. PaineWebber, Inc., Fitzgerald Capital Advisors, Ltd., Michael J. Fitzgerald, Barbara Ann Fitzgerald, Transglobal Investments, Inc., John C. Lee, Alden F, Wong, John K. Burden, Patricia E. Fisher, James Solan and Garritt H. Vander Veer, Respondents Case Number: 00-03209 Hearing Site: Via Conference Call REPRESENTATION OF PARTI