Award NASD Dispute Resolution In the Matter of the Arbitration Between: W. L. "Cotton" Gray and Betty Jean Gray (Trustees FBO The Gray Family Trust, dated March 5. 1993), Lloyd Gray and Elizabeth Gray (Trustees FBO The Gray Family Trust, dated April 5, 1993), Sophie Ratkovich (Trustee FBO The Sophie Ratkovich Family Trust, dated July 30, 1990), Warren F. Jones and Alice B. Jones (Trustees FBO The Warren F. Jones and Alice B. Jones Living Trust, dated June 1

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. Case No. 98-03750 Name of Respondent Michael F. Whitley REPRESENTATION OF PARTIES For Claimant Paine Webber, me, ("Paine Webber") hereinafter referred to as "Claimant": Tracy E. Calder, Senior Associate General Counsel, First Vice President, PaineWebber, Inc., Raleigh, North Carolina. Respondent Michael Whitley ("Whitley") hereinafter

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Beth Edick, (Claimant) vs. Barren Chase Securities and Roger Blundell, (Respondents) Case Number: 98-03733 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Beth Edick, hereinafter referred to as "Claimant": John E. Sutherland, Esq., Brickley, Sears & Sorett, P.A., Boston, Massachusetts. Respondents, Barron Chase Securities ("Barron") and Roger Blundell ("Blundel

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-3717 GKN Securities Corp., claimant vs. Ryan Bergman, respondent. ATTORNEYS: For Claimant GKN Securities ("GKN") appeared Katherine Nathan, Esq., Director of Litigation, New York, New York. Respondent Ryan Bergman ("Bergman") did not respond to the Statement of Claim. DATE FILED: 10/06/1998 CASE SUMMARY: Claimant alleged Respondent entered into a financial

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant R. Seelaus & Company, Inc. j Case No. 98-03703 Names of Respondents Vincent William Butkevits, III James Kenneth Ferry Douglas Christopher Green REPRESENTATION OF PARTIES For Claimant R. Seelaus and Company, Inc. ("Seelaus' 1 ), hereinafter referred to as "Claimant": John Maher, Esq., Summit, New Jersey until a substitution of counsel occurred o

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-03699 Joseph N. Ortiz, claimant vs. Salvatore Joseph Pollina, Richard Gambale, and Eric Arlt, respondents. ATTORNEYS: Claimant Joseph N. Ortiz ("Claimant") appeared Pro Se.. Colorado Springs, Colorado. Respondent Salvadore Joseph Pollina ("Pollina") appeared Pro Se., Brooklyn. New York. Respondent Richard Gambale ("Gambale") did not respond to the Statement of

AWARD NASD Regulation, Inc. CASE: 98-03694 Anne M. England, claimant vs. First of America Brokerage Service, Inc., Scott Kanai and Paul Woodward, respondents. ATTORNEYS: Claimant appeared Pro Se, Jackson, MI Respondents First America Brokerage Service, Inc., Scott Kanai and Paul Woodward, appeared through their Compliance Director, William P. Larkman, Kalamazoo, MI DATE FILED: October 5, 1998 CASE SUMMARY: Claimant alleged that respondents faile

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: GKN Securities Corp., (Claimant) vs. Michael Kats, (Respondent) Case Number: 98-03688 Hearing Site: New York, New York REPRESS! TATION OF PARTIES Claimant, GKN Securities Corp., hereinafter referred to as "Claimant": David W. Schmidt, Esq., Lubiner & Schmidt, Kenilworth, NJ. Previously represented by: Katherine Nathan, Esq., Director of Litigation, GKN Securities Corp., New Yo

_U/22/99 MOW 14 : 49 FAX , RPrilT ATTnH KEGULATION 01002 Award NASD Regulation, Inc. In the Matter of the Arbitration Between: William Yahiel Claimant vs. Northeast Securities and David O'Conner, (Respondents). Case Number: 98-03680 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant William Yahiel ("Yahiel"): Tracy Pride Stoneman, Esq., Tracy Pride Stonemarj, P.C., Colorado Springs, Colorado. Respondents, Northeast Securities, In

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Larry and Debra-Carlson Case No. 98-03674 Names of Respondents Franklyn Michelin Alfred M. Schiffrin L.H. Ross & Company, Inc. REPRESENTATION OF PARTIES For Claimants: Russell L. Forkey, Esq. of Russell L. Forkey, P.A., Ft. Lauderdale, FL. For Respondents Franklyn Michelin ("Michelin"), Alfred M. Schiffrin ("Schiffrin"), and L.H. Ross & Company, I