Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant David W. Johnson Case No. 98-03254 Name of Respondent Raymond James & Associates, Inc. REPRESENTATION OF PARTIES For Claimant David W. Johnson (hereinafter referred to as "Claimant"): Joseph B. Donnelly, Esq., Greene, Donnelly & Schermer, Tampa, Florida, and, as co-counsel, Stanley T. Padgett, Esq., Morgan, Padgett & Mierzwinski, Tampa, Florida. For Res

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mitchell Kupfer, (Claimant) vs. On-Site Trading, Inc., (Respondent) Case Number: 00-03186 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Mitchell Kupfer, hereinafter referred to as "Claimant", appeared pro se. Respondent, On-Site Trading, Inc., hereinafter referred to as "Respondent": Stephanie Rosenblatt, Esq. and Thomas A. Rigilano, Esq., Sin

AWARD NASD Regulation, Inc. CASE: 98-03248 Philip Morello and Joanne Marie Morello, JT TEN, claimants vs. Charles Schwab & Co., Inc., respondent. ATTORNEYS: Claimants appeared Pro Se., Costa Mesa, CA For respondent Charles Schwab & Co., Inc., appeared in-house counsel Steve Murphy, Esq., San Francisco, CA DATE FILED: 9/4/98 CASE SUMMARY: Claimants alleged that respondent reneged on their sell order of Imclone Systems option contracts. Cl

AWARD NASD Regulation, Inc. CASE: 98-03247 Neal B. Bobys, claimant vs. Dean Witter Reynolds, Inc., respondent. ATTORNEYS: Claimant Neal B. Bobys appeared Pro Se., Rockville, MD For respondent Dean Witter Reynolds, Inc., appeared in-house counsel Debra A. Roth, Esq., New York. NY DATE FILED: 09/04/1998 CASE SUMMARY: Claimant alleged that by failing to provide notice of the James Madison Limited stock class action, respondent prevented him from pa

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE:98-03245 Carmine A. Cilella Living Trust, claimant vs. Benjamin F. Edwards, Carroll W. Collier and Roland W. Baggott, respondents. ATTORNEYS: Claimant appeared Pro Se through its trustee, Tempe, AZ. For Respondents appeared Hope Johnson. Esq.. Litigation Counsel/A.G. Edwards & Sons. Inc. St. Louis, MO. DATE FILED: September 4, 1998 CASE SUMMARY: Claimant a

AWARD NASD Regulation, Inc. CASE: 98-03244 Nicholas F. Colmenares, Jr., claimant vs. Biltmore Securities and Daryl (Darrell) Beall, respondents. ATTORNEYS: Claimant Nicholas F. Colmenares appeared Pro Se., Tampa, FL For respondent Biltmore Securities, Inc., appeared Delmore C. Go wing, III, Esq., Delray Beach, FL Respondent Darrell (Daryl) Beall appeared Pro Se., Washington, DC DATE FILED: 9/4/98 CASE SUMMARY: Claimant alleged that responden

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Black Warrior Wireline Corp. 98-03242 Name of Respondent Southwick Investments, Inc. REPRESENTATION For Claimant Black Warrior Wireline Corp. ("Black Warrior"): Thomas H. Christopher, Esq. and Amy R. Walker, Esq. of the law firm of Kilpatrick & Stockton LLP, Atlanta, Georgia. For Respondent Southwick Investments, Inc. ("Southwick"): Alan E. Luber, Esq. and

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Andrew P. and Susan B. Carter Case No. 98-02443 Names of Respondents D.H. Blair & Co., Inc. William Michael Abbate Kenton Eric Wood Vito Rocco Capotorto Alan Stahler Kalman Morris Renov William Bernard Badinelli, Jr. Richard Vincent Siciliano Richard Anthony Maio REPRESENTATION OF PARTIES For Claimants Andrew P, and Susa

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 02439 Hyman Horowitz, claimant vs. Merit Capital Associates, Inc. and Mark S. Balbirer, respondents. ATTORNEYS: For claimant appeared Dina Trochinsky - Boca Raton, FL. For respondent Merit Capital Associates, Inc. appeared Robert Fitzpatrick - Westport, Ct. Respondent Mark S. Balbirer did not appeared. DATE FILED: 07/07/98 CASE SUMMARY: Claimant alleged unauthorized transactions and failure to cancel trades

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Rogers and Dorothy Molinski (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Arlene Terrier, and Nelson Cyr (Respondents) Case Number: 00-03119 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants John Rogers ("Rogers") and Dorothy Molinski ("Molinski") hereinafter collectively