Award NASD Regulation, Inc. In the Matter of the Arbitration Between: E*Trade Securities, Inc. (Claimant/CounterRespondent) vs. Gerhard Haase (Respondent/CounterCJaimant) Case Number: 00-00218 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant/CounterRespondent E*Trade Securities, Inc. ("E*Trade"): Eric Bronsen, Bird, Marella, Boxer & Wolpert, Los Angeles, California. Respondent/CounterClaimant Gerhard Haase ("Haase"): Arne R. Rode,

STIPULATED AWARD NASD Regulation; Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Gregory R. Center, Claimant and Counter-Respondent, and Case Number: 97-01151 Washington Square Securities, Inc., Respondent and Counter-Claimant. REPRESENTATION OF PARTIES Claimant and Counter-Respondent Gregory R. Genter ("Claimant") was represented by Walter L. Baumgardner, Esq. of Musilli, Baumgardner, Wagner & Parnell, P.C. located i

'MRY.26.1998' 3:41PM NftSD REGULATION FL NO.986 P.17 N.A.S.D. AWARD i NASD Regulation, lac. Office of Dispute Resolution In the Matter of the Arbitration Between ChanduMS, Ntondra. NASD CASE NO. 97-01148 JB Oxford & Company, Inc. For Claimant: WffliamJ. Schifino, Jr. F JEs4. ofWilUamsRcedWeiiisteiiiSdiifino AMangkme, P.A., Tampa, Florida. For Respondent: Jeffrey 5. Kbb, Esq. and Cynthia M, Scfaleindl, Esq. of Millet Milovt & Kob, San

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Dean Wilier Reynolds, Inc., Claimant, v. 97-01144 Bruce L. Keller, Respondent. REPRESENTATION OF PARTIKS Dean Witter Reynolds. Inc. ("Claimant") was represented by Andrew H. Smith. Hsq. Dean Witter Reynolds. Inc. New York, New York. Bruce L. Keller ("Respondent") appeared on his on behalf. CASE INFORMATION Claimant filed its Statement of

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Joseph DiMauro 97-01143 Names of Respondents Steven R. Rosenbleuth Duke& Co., Inc. REPRESENTATION For claimant Joseph DiMauro ("claimant") appeared Jonathan C. Thau, Esq. of the law offices Luboja & Thau, LLP located in New York, New York, For respondents Steven R. Rosenbleuth ("Rosenbleuth") and Duke & Company, Inc. ("Duke"), (collectively "respondents") app

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of riaimant LT Lawrence & Company, Inc. Case No. 97-01140 vs. Name of Respondent Daniel Felter REPRESENTATION For Claimant LT Lawrence & Company, Inc. ("Claimant") appeared Ruthann G. Niosi, Esq., of the Law Offices of Ruthann G. Niosi, Esq., located in New York, New York. Respondent Daniel Felter ("Respondent") did not enter an appearance in this matter. CASE

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Panache Production, Inc. 97-01139 Name of Respondent Furman Selz, LLC REPRESENTATION For Claimant Panache Production, Inc. ("Claimant") appeared Leon Baer Borstein, Esq., of the law offices Borstein & Sheinbaum, located in New York, New York. For Respondent Furman Selz, LLC ("Respondent") appeared Kevin T. Hoffman, Esq., a sole practitioner located In G

N.A.S JX REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01129 Martha B. Strong, claimant v. Merrill Lynch Pierce Fenner & Smith Inc and Owen G. Parr, respondents. ATTORNEYS: For Claimant Claimant appeared pro se - Deerfield Beach, FL. For Respondents appeared Christopher D. Cavuoti, Esq. - New York, NY. DATE FILED: 3/5/97 CASE SUMMARY: Claimant alleged misrepresentation in the sale of limited partnership

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant David L. Austel! 97-01128 frfaiqes of Respondents Raymond, James & Associates, Inc. Henry Ronald Popiel REPRESENTATION For Claimant David L. Austell ("Claimant") appeared Mike Sautter, Esq. of The Richter Firm, P.A. located in Mount Pleasant, South Carolina. For Respondents Raymond, James & Associates, Inc. ("Raymond James") and Henry Ronald Popiel ("Pp

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Arthur F. Brown, Jr., Laura W. Brown, John D. Lesemann, Linda M. Lesemann, William B. McGillivray and Harry K. Stephens NASD CASE NO. 97-01126 Name of Respondent J. C. Bradford & Co. REPRESENTATION For Claimants: Mitchell Willoughby, Esq. and Robin M. Johnson, Esq. of Willoughby & Hoefer, P.A., Columbia, South Carolina. For Respondent J.C. Bradfor