N.A.S.-D. REGULATION, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimapts Donald P. and Marie A, Bushby 97-03566 Name, of Respondents Chatfield Dean & Co.; Scott Cross; and Patterson McKinlay REPRESENTATION For Claimants: Donald P. Bushby and Marie A. Bushby ("Bushby") were represented by Erwin Cohn, Esq. of Conn & Cohn, located in Chicago, Illinois. For Respondents

N.A.3.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03562 Andrew Garrett, Inc., claimant vs. James A. Cover, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Revan R. Schwartz, Esq., New York, NY. Respondent appeared Pro Se, Wilton, CT. DATE FILED: July 21, 1997. CASE SUMMARY: Claimant alleged that respondent failed to meet obligations according to the terms of the Investment Executive Agreeme

AWARD i i NASD Regulation, Inc. In the Matter of the Arbitration Between NOV 34 1998 Taher Bhatti 97-03561 of Darlan E. Gordon; and Euro- Atlantic Securities, Inc. For Claimant: Taner Bhatti CBhatti"} was represented by Alan F. Block, Esq, of Block & Landsman, Located in Chicago, Illinois. For Respondents: Euro-Atlantic Securities, Inc. ("Euro-Atlantic") did not appear. Darlan Gordon ("Gordon") did not appear. Statement of Cl

Oft N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC CASE: 97-03560 Manon M. Steele, claimant v. Pershing / Div. of DLJ Securities Corp. and Jack White & Co. respondents. ATTORNEYS: Claimant appeared pro se - La JoHa, CA. For respondents appeared Maria J. Seedner, Esq. - San Diego, CA, DATE FILED: 7/21/97 CASE SUMMARY: Claimant alleged neglect and failure of respondents to forward Conversion Notice, Cl

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between George Hartley Whybrew Trust and Estate of George Hartley Whybrew, by Janice Meinhardt, Trustee and Personal Representative, Claimants, v. No. 97-03556 Merrill Lynch, Pierce, Fenner, & Smith, Inc., and Martin C. Brown, Respondents. REPRESENTATION OF PARTIES Claimants George Hartley Whybrew Trust and Estate of George Hartley Whybrew, by Janice Meinhardt. Trus

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between p r*f Claimant Wachovia Securities, Inc. Case No. 00-021 18 James P. Gotis.ey Hearing Location: Norfolk, Virginia Claimant, Wachovia Securities, Inc., ("WSF* or "Claimant") was represented by its counsel, Pamela P. Warnement, Esq., Senior Vice President and Deputy General Counsel for WSI, of Charlotte, North Carolina. Respondent, James P. Godsey, ("Godsey" or "Respo

NASD Regulation, Inc., Award In the Matter of Arbitration Between i John and Teri Baker, Claimants, and No. 97-03553 Sterling Foster & Company, Inc., Ira Zuckerman, Adam Lieberman, Craig Kellerman, and Frank Monroig, Bear, Stearns Securities, Corp., and Bear Stearns Companies, Inc. Respondents. REPRESENTATION OF PARTIES Claimants, John and Teri Baker ("the Bakers") represented themselves and were assisted by Mark A. Goodman, Esqu

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between -= Name of Claimants Morris Boltz and Loretta Boltz v. Arbitration No. 97-03551 Name of Respondents H.J. Meyers & Co. and Dan Wood REPRESENTATION For Claimants: Ara Sahelian, Esq. Sahelian & Associates, P.C. Laguna Hills, California For Respondent H.J., Meyers & Co.: Did Not Appear For Respondent Dan Wood: Did Not Appear CASE INFORMATION Statement of Cla

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Robert Sylk v. Name of Respondents Cruttenden Roth, Inc., Arnold Krauss, Jack C. West, and Pershing Financial Group Arbitration No. 97_03544 For Claimant: For Respondents: Statement of Claim filed: REPRESENTATION Joseph C. Girard, Esq. Attorney at Law Marina del Rey, California John R. Loftus

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimantfs) A.G. Edwards & Sons, Inc. v. Arbitration No. 97-03541 Name of Respondentf s) Benjamin Yip REPRESENTATION For Claimant: Norman S. Buckvar, Esq. A. G. Edwards & Sons, Inc. St. Louis, Missouri For Respondent: Joseph DeUlloa, Esq. San Francisco, California CASE INFORMATION Statement of Claim filed: July 14, 1