NOTICE: An award was rendered in this case, but is not available.

AWARD NASD REGULATION. INC. In the patter of the Arbitration Between Name of Claimant Nicholas G. Chelikas, TTEE and Lucille G. Chelikas, TTEE v. Arbitration No. 98-00513 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION For Claimant: Mark Steven Kessler, Esq. Kessler & Larson San Diego, California For Respondent: Kenneth C. Mennemeier, Esq. Mennemeier, Glassman & Stroud, L.L.P. Sacramento, Cal

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: Hans Futterman 00-02911 Name of the Respondents Hearing Site: Morgan Stanley Dean Witter, Inc. Los Angeles, California fTk/a Dean Witter Reynolds, Inc. Roc W. Willis REPRESENTATION OF PARTIES For Claimant: Hans Futterman New York, New York For Respondent Morgan Stanley Dean Witter, Inc.: Robert S. Schwarts, Esq. Orrick, Herringto

NOTICE: An award was rendered in this case, but is not available.

NOTICE: An award was rendered in this case, but is not available.

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Josephthal Lyon & Ross Inc. 94-05515 Name of Respondent Mark J. Grant REPRESENTATION For Claimant Josephthal Lyon & Ross Inc. ("Josephthal") appeared Robert E. Murphy, Esq., in-house counsel for Josephthal Lyon & Ross located in New York, New York. For Respondent Mark Grant ("Grant") appeared Mark D. Wasserstrom, Esq., a sole prac

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between J.W. & Patricia Schaelchlin, TTEES/Schaelchlin Family Trust U/T/D 10/06/81 Claimant NASD Arbitration V. No. 94-05479 Sutro & Company, Inc. Michael Axelrod Gabriel Wisdom Respondents REPRESENTATION OF PARTIES J.W. & Patricia Schaelchlin, TTEES/Schaelchlin Family Trust U/T/D 10/06/81 ("Claimant") was represented by Carl A. Grubb, Esq., La

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Frank Comes, Claimant, and No. 94-05477 > Dickinson & Co., and H. Beck, Inc., Respondents, REPRESENTATION OF PARTIES Claimant Frank Comes was represented by Michael A. Dee, Esquire of Shearer, Templer, Pingel & Kaplan, PC, located in West Des Moines, Iowa. Respondents Dickinson & Co. and H. Beck, Inc. were represented by Lisa A. Nielsen, Esquire o

I i N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Cari B. Jedin 9' 94-05429 Name of Respondents Fidelity Brokerage Services Michael J. Castillo © National Associauon of Securities Dealer?. Inc. All Richt.s Reserv'cC CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 20, 1994, Claimant Carl B. Jedin ("Claima

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Barbara and Abe Hardoon 94-05186 Name of Respondents John R. Averyt Marsh, Block & Co.,Inc. REPRESENTATION For Claimants Barbara and Abe Hardoon ("Claimants") appeared Neal J. Blaher, Esq., a sole practitioner located in Orlando, Florida. For Respondents John R. Averyt ("Averyt") and Marsh, Block & Co., Inc. ("Marsh, Block") (collectively "Respondents")