AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Jay Yu 97-03733 Name of Respondents Peter Chen Investors Associates, Inc. Wexford Clearing Services Corporation REPRESENTATION For Claimant Jay Yu ("Claimant") appeared Thomas J. Hanrahan, Esq. located in New York, New York. For Respondent Wexford Clearing Services Corporation ("Wexford") appeared William H. Freilich, Esq., Senior Vice-President

AWARD NASD Regulation, Inc. 97-03730 In the Matter of the Arbitration Between Names of Claimants Barry K. Butler Karen Jordan Kenneth Heyward Names of Respondents Edward L. Willis, Sr. Linsco Private Ledger Corporation REPRESENTATION For Barry K. Butler, ("Butler"), appeared Bernard J. McBride, Jr., a sole practioner, located in Deptford, New Jersey. Karen T. Jordan ("Jordan"), and Kenneth Heyward("Heyward") appeared Paul A. Wood

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02138 Chris G. Sadler, claimant vs. Mr. Stock, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Fairbanks, AK. For Respondent appeared Frank Pare, Director of Compliance, San Francisco, CA. DATE FILED: May 22, 2000 CASE SUMMARY; Claimant alleged respondent executed trades that exceeded the cash balance in his account. Claimant further alleged that he did not authorize the res

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Robert W. Lack, Sr. Claimant, v. No. 97-03727 Craig A. Janitol, Charles F. Senkyr, East West Capital Corp., Search Capital Group, Inc., Respondents. REPRESENTATION OF PARTIES Claimant Robert W. Lack, Sr. ("Claimant") was represented by Carl G. Becker, Esq. and Robert J. Katz, Esq. of Becker & Gibson. P.L.C. located in Pontiac, Michigan.

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Ronald Vanderveen v. Name of Respondent Crowell, Weedon & Co. Arbitration No. 97-03724 For Claimant: For Respondent: Statement of Claim filed: REPRESENTATION Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California David M. Bartholomew, Esq. Keesal Young & Logan, P.C. Long Beach, California CASE

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Michael W. Friske 97-03716 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc. REPRESENTATION For Claimant: Michael W. Friske ("Friske") was represented by Peter Alexander, Esq. of Rockford, Illinois. For Respondent: Merrill Lynch Pierce Fenner & Smith Inc. ("Merrill'*) was represented by Robyn L. Fried, Esq. of Merrill Lynch Pierce Fenner & Smi

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant David N. Pond 97-03714 Name o* Respondents PaineWebber, Inc. Pamela M. Basile REPRESENTATION For Claimant David N. Pond ("Pond") appeared Richard S. Weiss, Esq., a sole practitioner with offices located in Boston, Massachusetts. For Respondents PaineWebber, Inc. ("PaineWebber") and Pamela M. Basile ("Basile"), collectively "Respondents", appeared Sa

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Dorothy Wisch and 97-03713 Name of Respondent J.C. Bradford & Co. James Thomas Young REPRESENTATION OF PARTIES Dorothy Wisch ("Claimant") was represented by Roger J. Makley, Esq. and David P. Pierce, Esq., Coolidge, Wall, Womsley & Lombard Co., L.P.A., Dayton, Ohio. J.C. Bradford& Co. ("RespondentBradford") and James Thomas Young ("Respondent Young") we

NASD AWARD NASD Regulation, Inc. ' In the Matter of the Arbitration Between Name of Claimant Michael McCabe Case Number and 97-03710 Name of Respondent D.Blech&Co.,Inc. REPRESENTATION OF PARTIES For Michael McCabe ("Claimant") appeared Ethan A. Brecher, Esq. of the law firm Liddle & Robinson, LLP located in New York, New York. D. Blech & Co., Inc. ("Respondent") was not represented. CASE INFORMATION Claimant filed the Statement o

-7V/ N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03706 Barton G. Tretheway, claimant \. Bear Stearns & Company and David Adler, respondents. ATTORNEYS: Claimant appeared pro se - Chicago, IL, For Respondents appeared William C, Mallery, Esq. - New York, NY. DATE FILED: 7/28/97 CASE SUMMARY: Claimant alleged failure to abide by "stop loss 11 agreement in the sale of common stock. Clai