AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between NampnfriaimnntQ Joseph H. McConagfay Dolores M. McCona^y V. Case No. 99-02006 Name of Respondents Ivan Ellas Cliford Citrano REPRESENTATION OF PARTIES Claimants Joseph H. McConaghy and Dolores M. McConaghy ("Claimants") represented themselves. Respondent Ivan Elias ("Elias") was represented by Norman L. Ashkenas, Esq. of New York. New York. Respondem Cliford

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC, CASE: 99^02004 Karen Oszeyczik, claimant vs. Merrill Lynch, Pierce, Fdmer, and Smith Inc. and Joseph DeForge. respondents. ATTORNEYS: Claimant Karen Oszeyczik appeared Pro Se., Piscataway, NJ. For respondents Menill Lynch, Pierce, Fenner and Smith, Inc. and Joseph DeForge appeared Michael G. Constantme, Esq., in-house counsel for Merrill Lynch, Pierce, Fenner, & Smith Inc., New York, NY.

N.A.S.D. REGULATION AWARD NATIONAL CASE: 99-01998 Klaus & Elena Henrich, claimants vs. Webstreet Securities, Inc., respondent. ATTORNEYS: Claimants Klaus & Elena Henrich appeared Pro Se., Fort Lauderdale. Florida. For Respondent Webstreet Securities, Inc., Sara S. Lippold, Webstreet Securities, Inc. Deerfleld, Illinois. DATE FILED: 04/29/1999 CASE SUMMARY: Claimants maintained that on Jamiaiy 8,1999, they purchased 1000 shares of MCI WorldCom th

Award NASD Regulation. Inc. In the Matter of the Arbitration Between: Russell Jenkines, Independent Administrator of the Estate of Rot>ert Jenkines, (Claimant) vs. J.P. Turner & Company, LLC and Argent Securities, Inc., (Respondents). Case Number 98-03284 Hearinp Site: Houston, Texas Claimant, Russell Jenkines, Independent Administrator of the Estate of Robert Jenkines, hereinafter referred to as "Claimant": Annette M. Henry, Esq., The Law Offices o

NASD REGULATION, INC. AWARD In the Matter of the Aibitration Between Name of Claimant Andrew J. Faiichild vs. Case No. 98-04890 Ameritrade, In.. Claimam Andrew J. Faiichild ("Clainumt") appeared pro se. For Respondent Ameritrade, Inc. ("Respondent") appeared James A. Ricketts, Esq. and James J. Vihstadt, Esq. CASE INFORMATION Claimant's Statement of Claim was filed on December 21, 1998. Claimant's Siibmissioii Agreement was signed on

NASI) RKi;ri..\TU)\. 1\( . siirri.vTKi) \\\ \Ki) .Ni'iiiiljJ' .t. iaiiiuiiij_ Pcicr J. CiildtTun \^ CJM.' Nil 0t).ii(i(iW4 Name of Responc^enr Robert N. Lewin RhPRlISENlATlON Kor Claimant. Pcier J. Caldcron ("Claimant"). Joseph (alik'run. ISq. inMii ihc law firm of DemsLh. Kiaashrun & Blasband located in New York. New York. For Respondent. Robert M. Lewin ("Respondem"). l-rank A. NorM*.. Jr . \:si.\. located in 0>ster Bay Cove. New York.

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between l^James of Claimants Chester A. Powell and Marcia S. Powell Case No. 99-00078 Names of Respondents D.H. Blair & Company J. Morton Davis Kenton E. Wood Andrew Ross Schandler D.H. Blair Investment Banking Corp. REPRESENTATION OF PARTTFJS For Chester A. Powell and Marcia S. Powell, hereinafter collectively referred to as "Claimants": Delmer C. Co

Award NASD Dispute Resolution, Inc. in the Matter of the Arbitration Between: Fidelity Brokerage Services, inc., Claimant vs. David R. Ogiivie and Jeffery J. Anderson, Respondents Case Number 99-5430 Hearino Site: Houston . TX REPRESENTATION OF PARTIES Claimant, Fidelity Brokerage Services, hereinafter referred to as XlaimantT, was represented by Stefeni S. Eisenstat, Esq., Jenkins & Gilchrist, P.C. Dallas TX. Respondents David R. Ogiivie and Jeffer

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Kayla Hochman Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Randi Sue Grossman Case Number: 01-05358 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer v. Member Firm and Associated Person. REPRESENTATION OF PARTIES For Kayla Hochman ("Hochman"), hereinafter referred to as "Claimant": Darren C. Blu

AWARD NASD Dispute Resoiutloni Inc. In the Matter of the Arbitration Between Harry Limauro and Robin LImauro and 99-02160 Southfield, Michigan Merrill, Lynch, Pierce, Fenner & Smith, inc., and Robert Cllne REPRESEWTATIQW OF PARTIES Harry Limauro and Robin LImauro, hereinafter referred to as "Claimants" were represented by David J. SzynDanski, Esq., Sommers, Schwartz. Sih^r & Schwartz, Southfield, Michigan. Merrill, Lynch, Pierce, Fenner & Sm