Award NASD Regulation, Inc. In die Matter of the Arbitration Between: Frank J. Little, Jr., (Claimant) vs. Royal Hutton Securities Corp., (Respondent)) Case Number: 98-02866 Hearing Site: Buffalo, NY REPRESENTATION OF PARTIES Claimant, Frank J. Little, Jr., hereinafter referred to as "Claimant" appeared pro se. Respondent, Royal Hutton Seciu-ities Corp., hereinafter referred to as "Respondent": Leslie K. Case, Esq., Gersten, Savage, Kaplowitz & Frederic

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant James H. McCormick NASD Case No. 98-02869 Names of Respondents Duke &. Co., Inc. Dardana Henci Thomas J. Downey, Jr. Victor M. Wang REPRESENTATION OF PARTIES Claimant, James H. McCormick, heremafter referred to as "Claimant": Nicholas D. Thomas, Esq., The Law Office of Nicholas D. Thomas, Raleigh, North Carolma. Respondent, Duke & Co., Inc. ("Du

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: King Financial Services, Inc., (Claunant) vs. Fred A. Virrazzi, (Respondent) Case Number: 98-02858 Hearing Site: New York, New York ENTATION OF PART Claimant, Kuig Financial Services, Inc., hereinafter referred to as "Claunant": Martin P. Russo, Esq., MPR Law Practice, P.C, New York, NY. Respondent, Fred A. Virrazzi, hereinafter referred to as "Respondent": Richard D. DeVita,

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant PaineWebber, Inc. Name of Respondent Anthony R. Raimondi Arbitration No. 98-02850 For Claimant: For Respondent: REPRESENTATION Greg E. Copeland, Esq. PaineWebber, Inc. Los Angeles, Califomia Anthony R. Raimondi In Pro Per Laguna Niguel, Califomia CASE INFORMATION Statement of Claim filed: Claimant's Submission Agreement s

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Names of Claimants: The Joseph A. Garfield Revocable Living Trust and the Sherri S. Garfield Revocable Living Trust Case No: 00-00642 Names of Respondents: PaineWebber, Inc. and Robert Child Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For the Joseph A. Garfield Revocable Living Trust and the Sherri S. Garfield Revocable Living Tru

Award NASD Dispute Resolution, Inc. In tfae Matter of tbe Arbitration Between David E. Dewitt Case No. 98-02846 NameofResnondent Quick & Reilly, Inc. REPRESENTATION OF PARTIES For Claimant David E. Dewitt ("Dewitt"), hereinafter also refinred to as "Claimant": Layne Verebay, Esq., Fort Lauderdale, FL. For Respondent Qmck & Reilly, Inc. ("Q&R"), hereinafter also referred to as "Respondent": W. Hames Hall, m, Esq. of Morgan Lewis & Bockius LLP

Award NASD Regulation, Inc. In the Matter ofthe Arbitration Between: Jo Bess Jennings, (Claimant) vs. Southwest Securities, Inc., Cindy R. Kolb, Carey B. Kolb, Samuel W. Sibley, III, Mark Icenogle and Patterson Icenogle, Inc., (Respondents). Case Number: 98-02845 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Jo Bess Jennings, hereinafter referred to as "Claimant": Franklin A. Amold, Esq.; Austin, Texas. Respondent, Cindy R. Kolb,

Stipulated .Anard NASI) Dispute Resolution, Inc. In ilio Mailer ofthe Arbiiralion Bclween iv[a.me ofClaimants KEVIN and CAROLYN OX^ONNELL Case No. 99-004352 Naiims oXI^'rgPP'.ldgn t§ MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. WILLIAM R. GOODHUE rHEODORE G. LENZ RONALD G. FERREL REPRESENTATION OF PARTIES For Claimants Kevin and Carolyn O'ConneH: Donald G. McGrath, Esq. For Respondents Meirii! Lynch. Pierce. Fenner & Smith, Inc. ('"'M

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Dorothy B. Atwell Case No. 98-03508 Names of Respondents Northeast Securities, Inc. Timothy Dean Pirtle, Sr. Stephen Joseph Perrone Thomas Jack Moysak, Jr. Randi Patrice Mason REPRESENTATION OF PARTIES For Claimant Dorothy B. Atwell ("Atwell"), hereinafter referred to as "Claimant": Robin M. Johnson, Esq. ofthe law firm of Willoughby & Hoefer, P

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marvin Kider and Karen L. Kider (Claimants) v. Gruntal & Co., L.L.C. and Joseph Fedorko (Respondents) Case Number: 01 -04183 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Marvin Kider and Karen L. Kider ("The Kiders"), Marvin Kider IRA ("M. Kider IRA"), and Karen L. Kider IRA ("K.