IN .ARIJITRATION PR0CHI:DINC'..S BHFORI-: IHF N.VnON.\L .ASSOCI.ATION OF Sl:('l'RrnF-;.S DK.ALLRS. INC. CII.ARLHS .SCIiWAli & CO.. INC.. a ) .Arhiiration Nn.: ^'7-0.VJI« CalirorniaCtupDnuion ) ) Ciaimanl. } .SlIPCLATI-;!) .AWARD ) \S. ) ) ANNHCAFKRAY. ) ) Rc.^pondcni. ) I RnPRHSENT.ATlON OF PARTIES Claimani, Charles Scliuah & Co.. Inc.. was represcnlal b\ Richard A. Kamly. locaicd in San I'rancisco. Caliloniia. Respon

NASD DISPUTE RESOLUTION. INC. Jennifer Rivera, Claimant vs. Morgan Stanley Dean Witter, Respondent. For Claimant, Jennifer Rivera, ("Claimant 11 ), appeared H. Terrell Griffin, Esq., of the firm Griffin, Linder, Carter & Hoffman, P.A., Orlando, PL, For Respondent, Morgan Stanley Dean Witter, ("Respondent"), appeared in-house counsel Allison Barry Doneghey, Esq., Sarasota, Fl. DATE FILED; April 4, 2000 CASE SUMMARY: Claimant alleged that two letters

AWARD NASD Regulation, Inc. CASE: 98-01987 Michael L. Stein and Rhona E. Stein, claimant vs. Steve Goldstein and Barington Capital Group, Inc., respondents. ATTORNEYS: Claimants appeared Pro Se, Owings Mill, MD. Respondem Steve Goldstein appeared Pro Se, New York, NY. For Respondent Barington Capital Group, L.P. appeared Andrew Weinberg, Esq., of the firm Squadron, Ellenoff, Plesent & Sheinfeld. LLP., New York, NY. DATE FILED: June 1, 1998 C

Award NASD ReguUtion, Inc. In the Matter of the Aibitration Between: Estate of Isabell K. Johnson, (Claimant) vs. Donaldson, Lufkin & Jeniette Securities Coiporation, (Respondent) Case Number: 98-01827 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Isabell K. Johnson, hereinafter reforred to as **Claimant": Sean F. O'Shea, Esq., New York, NY. Reqwndent, Donaldson, Lufkin & Jenrette Securities Corporation, hereinafter referred to as

Award NASD Regulation. Inc. In [he Matter of the Arbitration Between: The Estate of Servino Persico, (Claimant) vs. Randolph L. Messina, Anthony Esposito, Mid- State Securities Corp., Mid-State Advisors, Inc., and Schroder & Co., Inc., (Respondents) Case Number: 97-06012 Hearing Site: New York, NY REPRESENTATION OF PARTIES rbirmnt Thr* F»!t:itp nf Servino Pi*r< ;irrt >it.»rfin?ftf*r rpfi»rrtv! fn :i«! "'Plnirr'TinT*'- K"fvin P Conway, Esq., Conway & Conw

t Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Steven Isaacson Name of the Respondent H&R Block Financial Advisors, Inc. and Evan C. Hunt Case Number: 01-05343 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Steven Isaacson ("Isaacson") was represented by Andrew J. Stoltman, Esq. of the firm Maddox Koeller Hargett & Caruso with offices located in Chicago, Illino

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kenneth D. Crowle and Louise Garcia, Claimants v. Stratton Oalonont, Inc., Randy Gussin, Scott B. Forman, Adam C. Friedland, Daniel M. Porush, Howard S. GelfiEUid, RMS Network, Inc., Andrew T. Greene, Leonard Dunn, Matthew V. Tiffert, Jordan R. Belfort, Kenneth S. Greene, and Jordan L Shamah, Respondents Counterclaim: Randy Gussin, Counterclaimant v. Kenneth D. Ciowle and Loui

Award NASD Dispute Resolution In the Matter of the Arbitration Between: r- 01-0534] James P. and Donna R. Freund Edward D. Jones & Co. Bart S. Milton Heaong^ite: Milwaukee, Wisconsin Claimants James P. and Donna R. Freund, hereinafter collectively referred to as "Claimants": Emerson R. Marks, Esq., located in Charlottesville, Virginia. Respondents Edward D. Jones & Co. ("Edward Jones") and Bart S. Milton ("Milton"), hereinafter collectively

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul E. Kelly, (Claimant) vs. ING Barings LLC and ING (U.S.) Financial Services Corp., (Respondents) Case Number: 01-05333 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Paul E. Kelly, hereinafter referred to as "Claimant": Michael P. Kaelin, Esq., Gregory and Adams, P.C., Wilton, CT. Respondents, ING Barings LLC ("ING") and ING (U.S.) Financial Services Co

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Farid Othman Shakbi and Fatima Shalabi, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Eyal Yaffe, Respondents Case Number: 01-05332 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Alton G. Burkhalter, Esq. Jonathan A. Michaels, Esq. Burkhalter, Michaels, Kessler & George LLP Irvine, California For Respondents: Kimberry Dunne,