Award NASD Regulation, Inc. In the Matter of the Arbitration Between: John M. Wildman and Catherine D. Wildman, Claimants vs. Pacific Coast Independent Brokerage, Inc. and Davies WU, Respondents. Case Number: 98-02011 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimants, John M. Wildman and Catherine D. Wildman, hereinafter collectively referred to as "Claimants": Crisostomo G. Ibarra, Esq., San Francisco, California Responden

Award NASD Regulation, Inc. In the matter of the Arbitration Between Name of Claimant Robert Nevins v. 98-02010 Name of Respondents Piper Jaffray Inc. and Bruce Maclean REPRESENTATION OF PARTIES Representing the Claimant, Robert Nevins, hereinafter referred to as "Claimant," was Howard M. Hoffman, Esq., Sacramento, California. Representing the Respondents, Piper Jaffray Inc. and Bruce Maclean, hereinafter collectively referred to as

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Earl Ruby as Trustee of the Earl Ruby Revocable Trust v. 98-2009 Prudential Securities, Inc. and Jeffrey Singer REPRESENTATION OF PARTIES Claimant Earl Ruby ("Ruby") was representedby Russell L. Forkey, Esq of Russell L. Forkey, P. A., located in Ft. Lauderdale, Florida. Respondent Prudential Securities, Inc. ("Prudential") and Respondent Jeffrey Singer ("Singer") were

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Margaret Patterson As Trustee For Margaret Patterson Trust dtd 11/28/88, Claimant vs. Gary Lee Anderson, Respondent. Case Number: 98-02008 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Margaret Patterson As Trustee For Margaret Patterson Trust dtd 11/28/88, hereinafter referred to as "Claimant": Richard Sacks and James J. Sullivan, Esq., Novato, Californi

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Marie B. Anglin, (Claimant) vs. J.C. Bradford & Co. and Ric Wolbrecht, (Respondents). Case Number: 98-02007 Hearing Site: Nashville, Tennessee REPRESENTATION OF PARTIES Claimant, Marie B. Anglin ("Anglin"): Nader Baydoun, Esq. and Stephen Knight, Esq.: Baydoun & Reese; Nashville, Tennessee. Respondents, J.C. Bradford & Co. ("J.C.Bradford") and Ric Wolbrecht ("Wolbrecht"), here

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Susan Emadi v. Arbitration No. 98-02005 Name of Respondents Donald & Company Securities, Inc. and Faramarz Steve Varasteh REPRESENTATION For Claimant: Douglas J. Rovens, Esq. Rovens, Lamb & Yocca, LLP Los Angeles, California i For Respondents: Thomas J. Rittenburg, Esq. Lewis, D'Amato, Brisbois & Bisgaard, LLP Los Angeles, California

AWARD NASD Regulation, Inc. CASE: 98-02002 Mary Louis MacNeil, claimant vs. Robert Morrell and Dean Witter Reynolds, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se. - Atlanta, GA. For Respondents appeared Edward Larkin, Esq. - New York, NY. DATE FILED: June 1, 1998 CASE SUMMARY: Claimant alleged respondents recommended the purchase of an unsuitable limited partnership, National Income Lease, III. Claim Data Award Data Claim: $9,000.0

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03070 Aaron Durall, Camilla Walker and Rouel Walker, Claimants vs. Merit Capital Associates, George Wannop, and Scott Crane, Respondents. ATTORNEYS: For Claimants, Aaron Durall, Camilla Walker and Rouel Walker, ("Claimants"), appeared Aaron Durall, Coral Springs, FL. For Respondents, Merit Capital Associates, George Wannop, and Scott Crane, (collectively" Respondents"), appeared, R

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant(s) Robert C. and Carol S. Jacobsen and 00-00336 Scottsdale, Arizona Name of Respondents') Charles Schwab & Company, Inc. Alejandro David Whitfield Douglas Brian Parker REPRESENTATION OF PARTIES Robert C. and Carol S. Jacobsen ("Claimant") were represented by Robert C. Jacobsen. Charles Schwab & Company, Inc. ("Respondent Charles Schwab"), Al

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Alan M. Levy, (Claimant) vs. Ira Feintuck, J. Robbins Securities, Inc., Joseph Crouch, and James Jedrlinic (Respondents) Case Number-. 98-02000 Heating Site: New York, New York REPRESENTATION OF PARTIES Claimant Alan M. Levy, hereinafter referred to as "Claimant": Marcia Goffin, Esq., Haft & Fishbein, LLP, New York, New York, Respondent Ira Feintuck ("Feintuck"): Adam J. Greenberg