AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant/CounterrespQndent Tom Masterson and 97-01863 Name of Respondent/Counterclaimant Dain Bosworth, Inc. REPRESENTATION OF PARTIES Tom Masterson ("Claimant") was represented by Andrew Marquardt, Esq., of the Marquardt Law Firm, P.A., Wichita, Kansas. Dain Bosworth, Inc. ("Respondent") was represented by Joan Schroeder, Esq. of Dain B

NASD Regulation, Inc., Award In the Matter of Arbitration Between Edward Howard, Claimant, and No. 97-01860 Stratton Oakmont, Inc., Eric S. Blumen, Ira Albert Boshnack, Jordan Belfort, Daniel Porush, Kenneth Greene, Andrew Greene, Paul Byrne, Daniel F. Grasso, and Steve Sanders, Respondents. REPRESENTATION OF PARTIES Claimant, Edward Howard ("Howard") was represented by Thomas A. Hargett, Esquire and Mark Maddox, Esquire of Maddox Koelle

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Dorothy Callaghan, individually and as Executrix for the Estate of Charles Callaghan, Janet M. Richmond, Trustee of the Horstman Family Trust, Kevin Lance Jones, individually and as Trustee of the Susan Lavergne Jones Trust, and Maria Del Rio Low, Claimants v. Titan Value Equities Group, Inc., JMC Investment Services, Inc. (formerly known as Priority Investment Services, Inc., formerly Sp

AWARD HASP REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Mame of Claimantfs) John T. Witte Arbitration No. 97-01843 Name of Respondent fs) Piper Jaffray Inc. Marcus F. Meyer RRPRESENTATION For Claimant: Linda M. Deola, Esq., Reynolds, Motl and Sherwood, P.L.L.P., Helena, Montana For Respondents: Mark S. Reed, Esq., Piper Jaffray Inc., Minneapolis, Minnesota CASE INFORMATION Statem

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Anil and Sudha Agarwal and 97-01842 Omaha, Nebraska Name of Respondents Euro-Atlantic Securities, Inc. Frank DelMaestro James St. Clair, Jr Brian Herman Thomas Fox David Melillo Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Anil and Sudha Agarwal ("Claimants") were represented by Dennis E

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Amare Assefa Case No. 00-01932 Name of Respondent TD Waterhouse Investor Services, Inc. Hearing Location; Washington, D.C. REPRESENTATION OF PARTIES Claimant, Amare Assefa ("Claimant"): Albert A. Rapoport, Esq., Attorney at Law, Boca Raton, FL. Respondent, TD Waterhouse Investor Services, Inc. ("Respondent"): Burton W. Wiand, Esq., the Law F

NASD Regulation, Inc., Award In the Matter of Arbitration Between Vicki L. Calhoun, Claimant, and No. 97-01840 A.G. Edwards & Sons, Inc., and Robert T. Neel, Respondents. REPRESENTATION OF PARTIES Claimant, Vicki L. Calhoun ("Calhoun") was represented by Gary Barket, Esquire, and Clark Mason, Attorney at Law, in Little Rock, Arkansas. Respondents, A.G. Edwards & Sons, Inc. ("A.G Edwards") and Robert T. Neel ("Neel") were represented by M

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant David Goldman 97-01836 Name of Respondents PaineWebber, Inc. Wayne Taub REPRESENTATION Claimant David Goldman ("Claimant") appeared pro se. For Respondents PaineWebber, Inc. ("PaineWebber") and Wayne Taub ("Taub") (collectively referred to as "Respondents") appeared Hector Becil, Esq., in-house counsel located in Weehawken, New Jersey. CASE INFORMATION

>• NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Armenoui Karamanoukian 97-01834 Name of Respondents Ear! J. Swan, III Aaron Bronstein The Golden Lender Financial Group, Inc. REPRESENTATION Claimant Armenoui Karamanoukian ("Claimant") appeared pro se. For Respondents Earl J. Swan, III ("Swan"), Aaron Bronstein ("Bronstein"), and the Golden Lender Financial Group, Inc. ("GLFG"), collectively

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant John T. Hassenjaeger 97-01833 Name of Respondents Schroder Wertheim & Co., Inc. State Street Capital Markets Raymond E. Koza John Doukas Salvatore Lauria Cathleen E. Seneca George Christodoulou Dila D. Skrelja Mark Pollack Douglas Beck Matthew Lang REPRESENTATION For Claimant John T. Hassenjaeger ("Claimant") appeared Daniel