Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Empire Securhies, Inc., (Claimant) vs. Tucker Anthony Incorporated and Stephen P. Boles, (Respondents) Case Number: (X)-(XX)86 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, First Empire Securities, Inc., hereinafter referred to as "Claimant": May Orenstein, Esq., Heller, Horowitz & Feit, P.C, New York, NY. Previously represented by: Gina-Marie

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Raymond G. Hauck, Trustee for the Sr. Marion H. Hauck Trust (Claimant) v. Linsco/Private Ledger Corp. and John F. Johnson (Respondents) Case Number: 03-02005 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTjVriQNDXPARTlES Claimant Raymond G. Hauck, Trustee for the Sr. Marion H. Hauck Trust ("Trust") hereinafter r

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kurt G. Heitmann and Saul M. Freitas, (Claimants) vs. Barron Chase Securities, (Respondent) Case Number: 00-00547 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Kurt G. Heitmann ("Heitmann") and Saul M. Freitas ("Freitas"), hereinafter collectively referred to as "Claimants": John D. Rapoport, Esq., a sole practitioner, White Plains, New York. Respon

N.A.S.D. REGULATION, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Edmund Larrabee 97-02567 Name of Respondents A.S. Goldmen & Company, Inc.; and Thomas Mahan For Claimant: Edmund Larrabee ("Larrabee") was represented by James J. Eccleston, Esq., of Eccleston & Associates, located in Chicago, Illinois. For Respondents: A.S. Goldmen & Company, Inc. ("A.S. Goldmen") was

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimants Case Number: 01 -04203 John R. Hutchinson and Christine Hutchinson Name of the Respondents Hearing Site: Albuquerque, New Mexico Merrill Lynch Pierce Fenner & Smith, Inc. and Karen Savage REPRESENTATION OF PARTIES Claimants John R. Hutchinson and Christine Hutchinson ("Hutchinson") hereinafter collectively referred to as "Claimants:" Thomas Schuch

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Case Number. 98-02029 Richard Clark Deborah Clark Names of Respondents Hearing Site: Tampa, Florida VTR Capital, hic. Wallace G. Conley Felicia A. Antonio Lorette Farris William D. Noble Brent Brown Name of Third Party Respondent Jeffrey Allen Tebbe REPRESENTATION OF PARTIES For Richard Clark and Deborah Clark, hereinafte

NASD Dispute Resolution Arbitration No. 98-02191 Award Page 1 of 8 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Franklin Beck and Shirley Beck, individually and on behalf of Shirley Beck Revocable Living Trust, Franklin B. Beck Revocable Living Trust, Beck Grantor Retained Income Trust, Trust f/b/o Austin Beck Account, and Trust f/b/o Dyllan Beck Account (Claimants) Merrill Lynch, Pierce, Fermer & Smith, Inc. and Harol

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Joseph M. and Kathleen K. Damiani. Individually, as Trustees, and as Custodians. Claimants v. A. G. Edwards & Sons, Inc. and Michael John McMonigle, Respondents. Case Number: 98-03400 Hearing Site: Los Angeles, California For Claimants: For Respondents: REPRESENTATION OF PARTIES Leonard Steiner, Esq. Steiner & Libo, PC Beverly Hills. California William S. Port, Esq

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Paul D. Wexler, (Claimant) vs. Equitable Life Assurance Society of The United States, (Respondent) Case Number: 98-03288 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Paul D. Wexler, hereinafter referred to as "Claimant" appeared pro se. Respondent, Equitable Life Assurance Society of The United States, hereinafter referred to as "Respondent": Eileen Wishnia, Esq.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Carl and June Eckhard Carl H. Eckhard Revocable Trust UTD 2/2/90 Kenneth C. Habershon Case No. 98-03286 Joseph P. Mauer Mumal Trust Company of America Securities REPRESENTATION OF PARTIES For Carl and June Eckhard ("Eckhard"), Carl H. Eckhard Revocable Trust UTD 2/2/90 (the "Trust") and Kenneth C. Habershon ("Habershon"), hereinafter collectiv