AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Richard L. and Cecelia M. Miles 98-03552 Names of Respondents J. C. Bradford & Co. Graham Martin REPRESENTATION For Claimants: J. Pat Sadler, Esq. of the law firm of Sadler & Associates, P.C., Atlanta, Georgia. For Respondents: Claude O. Ramer, II, Assistant General Counsel, J.C. Bradford & Co. CASE INFORMATION Statement of Claim filed: Septem

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: A.G. Edwards & Sons, Inc., Claimant v. Gerald S. Miller, Respondent Case Number: 00-03206 Hearing Site: N/A REPRESENTATION OF PARTIES For Claimant: Michael Naccarato, Esq. A.G. Edwards & Sons, Inc. St. Louis, Missouri For Respondent: Gerald S. Miller Morgan Stanley Dean Witter Fresno- California CASE INFORMATION Statement of Claim filed on or about: July 26

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Fidelity Brokerage Services, (Claimant) vs. George Curtis Ward (Respondent). Case Number: 98-03545 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant Fidelity Brokerage Service ("Claimant"): Ellen Sessions, Esq., Jenkins & Gilchrist, Dallas, Texas, Respondent, George Curtis Ward ("Respondent"): Did not appear. CASE INFORMATION Statement of Claim filed on or about

AWARD NASD Regulation, Inc. CASE: 98-03531 Sione Owen, claimant vs. Lori Kilpatrick, respondent. ATTORNEYS: Claimant, Sione Owen appeared Pro Se., Los Angeles CA For Respondent Lori Kilpatrick, appeared Michael A. Kale, Esq., Woodland Hills, CA DATE FILED: 09/23/98 CASE SUMMARY: Claimant alleged respondent committed fraud, representing herself as a professional financial advisor when in fact she was not. Secondly, claimant alleged that responden

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Ronald Rabb, (Claimants) vs. George Tapinekis and Josephthal & Co., Inc. (Respondents). Case Number: 98-3524 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, Ronald Rabb, hereinafter referred to as "Claimant": Anthony V. Trogan, Esq., Weisman, Trogan, Young & Schloss, P.C., Bingham Farms, Michigan. Respondents, George Tapinekis ("Tapinekis") and Josephthal & Co., In

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Terrell J. Slawson, Valerie R. Silva, Lynnette Underwood, as Executor for the Estate of Norman Underwood, Jr. and as Trustee/Beneficiary of the Norman and Lynnette Underwood Living Trust, Lauro Bemal and DeAnn Bernal, Reverend Michael C. Gamer, Individually and as Custodian f/b/o Charis A. Gamer, CUTMA, as Custodian f/b/o Eric C. Garner, CUTMA, and as Custodian f/b/o Heather M. Gamer, CUT

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Bemice K. Lyon Claimant, v. Pennsylvania Merchant Group, Ltd., n/k/a PMG Capital Corporation, Boenning & Scattergood, Inc. William B. Fretz, William Gomez and David Callan, Respondents. Case No. 00-03204 REPRESENTATION OF PARTIES Claimant Bernice K. Lyon ("Claimant") was represented by John J. Barr, Esquire of the firm of Palmer & Barr, P.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Douglas C. Evans, (Claimant) vs. The Golden, Lender Financial Group, Inc., Aron O. Bronstein, Tomer M. Yuzary, and Foster J, Gibbons, (Respondents) Case Number: 98-03504 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Douglas C. Evans, hereinafter referred to as "Claimant" appeared pro se. Respondents, The Golden, Lender Financial Group, Inc. ("Golden Lender"), Aron

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Georg Bartosch, and Georg Bartosch and Vladislava Bartosch, joint tenants (Claimants) vs. Gilford Securities, Inc., Ralph Worthington, IV, Lennox Securities, Inc., Ernest Charous, (Respondents). Case Number: 98-03501 Hearing Site: New York, New York REPRESENTATION OF PARTIES For Claimants, Georg Bartosch ("Mr. Bartosch"), and Mr. Bartosch and Vladislava Bartosch ("Mrs. Bartosch"),

AWARD NASD Regulation, Inc. CASE: 98-03500 Paul A. Mandel, claimant vs. Charles Schwab & Co., Inc., respondent. ATTORNEYS: For claimant Paul A. Mandel, appeared Clyde Jay Eisman, Esq., New York, NY. For Respondent Charles Schwab & Co., Inc., appeared in-house counsel, Sean Meehan, Esq., San Francisco, CA. DATE FILED: 09/21/1998 CASE SUMMARY: Claimant alleged respondent is liable for the actions of its broker who gave advise and personally comple