Award NASD Dispute Resolution In the Matter of the Arbitration Between: 01-04202 Lloyd Byers Xfayppg of the .^.p^pnpHftnts Hsflripg S* tp ' Houston, Texas Merrill Lynch, Pierce Fenner & Smith, Inc.., Bruce Potter and Kevin Roberts OF PAttT.TF Claimant, Lloyd Byers, hereinafter referred to as "Claimant": Kirk G. Smith, Esq., Shepherd, Smith & Bebel, P.C., located in Houston, Texas. Respondents Merrill Lynch, Pierce Fenner & Smith, Inc

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-01352 Neil Esterkin, Claimant vs. American Fronteer Financial Corporation, George Edward Johnson, and John E. Shuster, Jr., Respondents. ATTORNEYS: Claimant, Neil Esterkin ("Claimant"), appeared through his counsel Catherine A. McEnroe, Esq., Minneapolis, MN. Respondents, American Fronteer Financial Corporation, George Edward Johnson and John E. Shuster, Jr., ("Respondents"), appea

Corrected Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between: David Johnson, Claimant vs. Everen Securities, Steve Stahlberg, Robert Van Norstrand, Julie Lambert, Terry Chase and Gianni Ruocco, Respondent. Case Number: 98-03159 Case Site: San Francisco, CA REPRKSKNTATION OF PARTIES Claimant David Johnson, hereinafter referred to as "Claimant": Vincent DiCarlo, Esq., Law Offices of Vincent DiCarlo, 300 Capitol mall. Suite 110

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William McCabe and John Cierski, (Claimants) v. HD Brous & Co., Howard 6rous, and Ralph Esposito, (Respondents) Case Number: 98-03032 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, William McCabe ("McCabe") and John Cierski ("Cierski"), hereinafter collectively referred to as "Claimants": Marvin G. Pickholz, Esq., Pickholz Law Firm, LLP, New York, NY.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Dickson Ng, Claimant vs. Stratton Oakmont, J.B. Oxford and Company, Jordan R. Belfon, Kenneth S. Greene, Daniel M. Porush and Frank A. Riccuiti, Respondents. Case Number: 98-03003 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimant, Dickson Ng (hereinafter referred to as "Claimant"): Richard Sacks, Investors Recovery Service, and James J. Sullivan, Esq., Law Offices of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Robert M. Bouse Name nf the Respnndent Morgan Stanley DW Inc., Alfred P. Vasconi, Jr., and Terry L. McCoy Case Number- 01-04200 Hearing Site- Richmond, Virginia REPRESENTATION OF PARTTFS Claimant Robert M. Bouse, hereinafter referred to as "Claimant", was not represented by counsel. Respondents Morgan Stanley DW Inc. ("Morgan Stanley"), A

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Edna Wilke, Claunant vs. Dean Witter Reynolds, Inc., Frank Paz, Jay Dinerstein, and Steven Stubbs, Respondents. Case Number: 98-2962 Hearing Site: Albuquerque, New Mexico REPRESENTATION OF PARTIES Claimant, Edna Wilke ("Wilke") hereinafter referred to as "Claimants": appeared pro se. Respondent(s), Party Name ("DWR"), Frank Paz (Paz), Jay Dinerstein (Dinerstein), and Steven Stubbs

AWARD NASD Regulation, Inc. CASE: 98-2961 Irene H. Porter, claimant vs. Gary Rasmussen. SunAmerica Securities, Inc., and Spelman & Co.. Inc.. respondents. ATTORNEYS: For Claimant appeared David Liebrader, Esq. - Newport Beach, CA. For Respondents Gary K. Rasmussen and Spelman & Co.. Inc.. appeared Houston A. Goddard. Esq., San Diego, CA. For Respondent SunAmerica Securhies, Inc. appeared Bridget M. Gaughan. Esq., Phoenix, AZ. DATE FILED: August

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant William Kaschmitter and 98-02959 Name of Respondent PCM Securities Limited, L.P. n/k/a Royal Palm Investments, LTD. Vito Gili, Jr. REPRESENTATION OF PARTIES William Kaschmitter ("Claimant") was represented by Mark J. Briol, Esq. and Christopher L. Koshire, Esq., Briol & Associates, Minneapolis, Minnesota. PCM Securities Limited, L.P. n/k/a Royal Palm in

Award NASD RegDlalian, Inc. la the Matter of the Aibiixation Between Mictaael J. Aiello aixl Micbaet J. Aiello IRA Case No. 98^957 NameofRgmondent Dean Witter Rcyoolds Inc. REPRESENTATlCBSf OF PARTIES Claunants Michael J. Aiello and Midiael J. Aiello IRA, (collectively refjnxed to as "Claunants") were i^resented by William C: Sanmuns, 1^., Hmodiy A. Hodge, ESq.» and James J. O'Neill m, Esq., of the law fibn of I^diiigs & Rosenberg LLP, Baltimoie