AWARD NASD Regulation, Inc In the matter of the Arbitration Between Name of Claimant(s) Merle Vandewall Elizabeth Vandewall Dorothy M. Neeley Arbitration No. 97-04682 Name of Respondent(s) Michael Joseph Payne David Paul Melillo Matthew Roger Dickman Fred Plan REPRESENTATION For Claimants: Alan R. Markizon, Coeur d'Alene, Idaho For Respondent Michael Joseph Payne: Michael Joseph Payne, Staten Island, New York For

JftN. 6.1999 12=25PM NASD REGULfiTION PL NO.770 P.I N.A.S.D- REGULATION, INC. AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Name_of Claimant Gus Miller 97-04680 Names of Respondents Duke & Company, Inc. Scott M. Stollwerk REPRESENTATION For Claimant: Jonathan 5. Coleman, Esq. of the law firm of Johnson, Blakely, Pope, Bokor, Ruppel & Bums, P.A., Tampa, Florida. For Respondents Duke

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Frederika Wisehart 97-04675 Name of Resr undents Gruntal & Co., Inc. Kenneth Wittman REPRESENTATION For Claimant Frederika Wisehart ("Wisehart") appeared BrianH. Reis, Esq., a sole practitioner with offices located in New York, New York. For Respondents Gnintal & Co., Inc. ("Gruntal") and Kenneth Wittman ("Wittman"), collectively "Respondents", appe

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between NftV £5 1998 Name of Claimant Jayson S. Rice and Diane Rice, JTWROS and Name of Respondent John G. Kinnard and Company, Inc. Lance K. Morque 97-04672 REPRESENTATION OF PARTIES Jayson S. Rice and Diane Rice, JTWROS ("Claimants") were represented by Randall H. Steinmeyer, Esq., Reinhardt & Anderson, St. Paul, Minnesota. John G. Kinnard and Company, Inc. ("Responde

SEP. 1.1998 ll:01flM NRSD REGULPTIGM PL NO.565 P.19 AMENDED N.A-S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Rebecca and Paul Gitterman Joint Tenants with Right of Survivorship 97-04669 Names of Respondents Smith Barney, lnc, David A. Waxman REPRESENTATION For Claimants: Jim Scutti, Esq. of Jim Scutti, P.A-, Boca Raton, Florida. For Respondents: Linda R. Alp

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04668 William A. Mullen and Lisa Mullen, JTTEN, claimants vs. Michael Motshykulashvili; Arnold Schnieder; Mark Grewe, William Joseph and Schroeder & Company, respondents. ATTORNEYS: Claimants appeared Pro Se. - Tampa, FL. Respondent William Joseph appeared Pro Se. - New York, NY. For Respondents Mark Grewe and Schroder & Co. appeared Dennis Cronin, New York, N

NASD Regulation, Inc., Award In the Matter of Arbitration Between Majeed and Diane Seifi, Claimants, and No. 97-04667 Dorainick & Dominick, Inc., Fusung Peter Wu and Michael Douglas Breard, Respondents. REPRESENTATION OF PARTIES Claimants, Majeed and Diane Seifi ("the Seifis") were represented by E. Steve Watson, Esq., of Dallas, Texas. Respondents, Dominick & Dominick, Inc., ("Dominick") Fusung Peter Wu ("Wu") and Michael Douglas Br

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04666 Donald W. Knuth and Debra G. Knuth, claimants vs. Discover Brokerage Direct, respondent. ATTORNEYS: Claimants appeared Pro Se, Rockville, MD. For Respondent appeared in-house counsel, Mary Curran, Esq., San Francisco, CA. DATE FILED: September 23, 1997. CASE SUMMARY: Claimant alleged that his Internet market order to sell short 450 shares of Micron T

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Richard Neiboer vs. 97-04663 Name of Respondents Gerald Esposito Barren Chase Securities REPRESENTATION For Claimant Richard Neiboer ("Claimant") appeared Philip M. Giordano, Esq. from the law firm of Giordano & Champa, P.A. located in Boston, Massachusetts. For Respondent Barren Chase Securities, Inc. ("Barron Chase") appeared Eugene Michael Kenned

NASD REGULATION, INC. • AWARD In the Matter of the Arbitration Between Name of Claimants D. Blech & Company, Inc. David BJech vs. Case No. 97-04659 Name of Respondents Josephthal, Lyon & Ross, Inc. Dan Purjes REPRESENTATION For Claimants D. Blech & Company, Inc. ("Blech & Co.") and David Blech ("Blech") (collectively "Claimants") appeared Nancy Chassman, Esq., a sole practitioner with law offices located in New York, New York and