N.A.S.D. jaaoD NAZICNAL ASS0CZASK27 OF SEUJBITXSS QSLBSS In tte Matter of tte Azbitraticn Between sap* "* mm4rtmnf Louis K. Felseatbal vs. 91-02166 MBBB of Prudential Securitiee, mc. Gerald ICeln .tedhlaaelf. Fbr daiaant: daiasnt For Raapondantst Katbryn L. Reate, Baq., California. Yasig ft Zcgan, Long Beech, Statenent of daiaant'a joint Stal dalm filedt Jdy 15, 1991 igreaaant aignad ont Jbne 6, 1991 of Aaiawe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-05055 Dorothy I. Byron and Sally A. Kilshaw JTWROS, Claimants vs. Michael A. Metz and AXA Advisors, LLC, Respondents. ATTORNEYS: Claimants Dorothy I. Byron and Sally A. Kilshaw JTWROS, ("Claimants"), appeared pro se, through Dorothy I. Byron, Saratoga Springs, NY. For Respondent, Michael A. Metz, ("Metz"), appeared James C. Keidel, Esq., of the firm Lustig & Brown, LLP New York, NY

Award NASD In the Matter of the Arbitration Between: Names of the Claimants Jeston L. and Phyllis M. Fulton Names of the Respondents Morgan Stanley Dean Witter, Inc. A.G. Edwards & Sons, Inc. Andrew S. Hardie Clayton "Jim" W. McWhorter Case Number: 00-01343 l Hearing Site: Springdale,, AR REPRESENTATION OF PARTIES For Jeston L. and Phyllis M. Fulton, hereinafter collectively referred to as "Claimants": Joseph D, Sheppard, III

2f.A.S.O. ABIHD yotmaiAL ASSQCSQTOH OF ssosirss 'TATIBP^ la the Matter of tte Arbitzation of 91-02327 daiaents Je and Karen HexUaa. ("daiaents") by Kobarc by Kaoaitb S. Statoens of dala filed cn Septenber 3, 1991. daiaant iSianBa McQlna's fli^wlsslnn, Aijieaaail signed cnt August 19, 1391. Hn Imant Karen MeCSlan's SUteisaion Agzeeaaat signed oa: Septaiber 3, 1991. of Answer filai by Aaepcadenc Jencae Meiner filed on.* Oct

'• N.A.S.D MXnCMXL ASSOCmZCN OF SSXRnXBS nTOTIB?H m tfae letter of tba Arbitzation Qulnto Ftta 91-01458 MBxlU Ivmft Pierce L. £ 8ai.\Jx 3bc —~ FOB: daiasnt* Qulnto Plata ^nithf 3tae* f, Bsq. of Msrrlll Xyncb Fierce algned on: Mby 7, Statsoent of daia filadt My 9, 1391. daiasnt Qulnto Plata's ("Clalaant") Sdniaaion 1991. Joint Stataavit of Anwiar filed by Baapmrlenta, HKZUI Xvneh Piaroe Ptaoar ft aaiOL, SOB. and Ba

N.A.S.D. AHARD NATICMAL ASSCX:iATIGN OF SECURITIES DEALERS In the Matter of the Arbitxarion Betr^een Judy Davis •rs. MAS D Arbitration >to, 51-01267 Dean Witter Reynolds, Inc. and Carla Koren For Clalrunt/CQuntexxespondent: Judy Davis (Pro per) For Reepondenta/GountarclaijnantsI Wendy R. Robinson, Esq. of Dean witter Reynoldsr Inc. Statanant of Claim filedt April 23, 1991 Claiaant/Counterrespandent's Submission Agreemant signed on: April

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-2997 Artliur Rojas Sr., claimant vs. Hibemia Investment Securities, Inc., Mario Gonzalez, Ann Branigan, James Cross, and Hibemia National Bank, respondents. ATTORNEYS: Claimant Arthur Rojas appeared Pro Se., Kenner, Los Angeles. For Respondent Uihenaa. Investment Securities, Inc. ("Hil)emia"), and James Cross ("Cross"), Gary L Ryan, Esq., New Orleans, Los Ange

AWARD NASD Regulation, Inc. In the Matter of die Arbitration Between Interstate/Johnson Luie Corporation NASD CASE NO. 98-02987 ^ame of Resoondent Jones C. Combs REPRESfiNTATION For Claimant; Pamela P. Wamement, Esq,, Depo^ Cfeoeial Counsd of Interstate/Johnson Lane Coiporation ("DL"), Charlotte, Norih Carolina. Respondent Jones C. Combs ("Combs") appeared Q£0 S£, CASE INFORMATION Statement of Claim filed on August 17, 1998. Gahnaat's Su

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Thomas Michael Stich and 01-05051 Phoenix, Arizona Name of Respondents Bane of America Investment Services, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Thomas Michael Stich ("Claimant 11 ) was represented by Mark D. Chester, Esq., Chester & Shein, Scottsdale, Arizona. Bane of America Investment Servi

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Michael G. and Marlene L. Di Marco, JTWROS and Michael G. Di Marco, IRA, Claimants vs. Ameritrade Holding Corporation, Ameritrade, Inc., Ameritrade Clearing, Inc. and Accutrade, Inc., Respondents. Case Number: 98-02968 Hearing Site: Seattle, Washington WF.PRKSENT/ Claimants, Michael G. Di Marco and Marlene L. Di Marco, hereinafter collectively referred to as "Claimants": Michael G