AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Dennis Boyle and 99-03935 (consolidated with 99-04332) Scottsdale, Arizona Name of Respondents RJ. Steichen & Company James A. Bjornlie Name of Claimants Jim T. Boyle and J.T.B. Associates, Inc., PSP and 99-04332 Name of Respondents RJ. Steichen & Company James A. Bjornlie REPRESENTATION OF PARTIES Dennis Boyle, Jim T

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Stewart Rusnak and Renee Brodsky, JTWROS, (Claimants) v. Olde Discount Corporation and Alan Rosenberg, (Respondents) Case Number: 99-05625 Hearing Site: Chicago, Illinois REPRESENTATTON OF PARTIES Claimant Stewart Rusnak and Renee Brodsky, JTWROS ("Claimants") were pro se. Respondent Olde Discount Corporation and Alan Rosenberg ("Rosenberg"), hereinafter collectively r

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: S.F. Radford TTEE, Shiela Foxley Radford Tmst U/A DTD 06/14/96, (Claimant) vs. Elizabeth M. Ferreira, EM Financial Solutions, LLC, and Charles Schwab & Co., Inc., (Respondents) Case Number: 99-05617 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, S.F. Radford TTEE, Shiela Foxley Radford Tmst U/A DTD 06/14/96, hereinafter referred to as "Claimant": Brian H.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Gary W. Ross Case No. 99-05616 Name of Respondents Wheat First Securities, Inc. (n/k/a First Union Securities, Inc.) Robert J. Hoskin Hearing Location: Pittsburgh, PA REPRESENTATION OF PARTIES Claimant, Gary W. Ross ("Ross"): David A. Strassburger, Esq., Strassburger McKenna Gutnick & Potter, Pinsburgh, PA. Respondents, Wheat First Securitie

Award NASD Dispute Resolution, Inc. In die Matter of the Arbitration Between: Enrique O. Quesada and Elsa Quesada, Claimant v. UBS PaineWebber, Inc., Raymond, James & Associates, Inc. and Christopher J. Mulcahy, Respondents Case Number: 99-5614 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Claimant: Dennis Hernandez, Esq. and Jennifer A. Lester, Esq. Dennis Hernandez & Associates, P.A. Tampa, Florida For Respondents UBS PaineWeb

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lee V. Lambert, Claimant Vs. J.C. Bradford & Company, Inc, and William P. Lambert, Respondents. Case Number: 99-05730 Hearing Site: Nashville, Tennessee REPRESENTATTON OF PARTTFiS Claimant Lee V. Lambert ("L. Lambert"), hereinafter referred to as "Claimant," was represented by Joseph E. Costner, Esquire, Maryville, Tennessee. Respondents J.C.

Award NASD Regulation, inc. In the Matter of the Arbitration Between: Richard Roder, (Claimant) vs. Salomon Smith Barney, Inc. and Benjamin Allen Connell (Respondents). Case Number: 99-05611 Hearinq Site: Dallas. Texas REPRESENTATION OF PARTIES Claimant, Richard Roder, ("Claimant"): Michael O'Neill, Esq.: Attorney at Law, Dallas, Texas. Respondents, Salomon Smith Barney, Inc. and Benjamin Allen Connell (collectively "Respondents"): Sean Coughlin

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Northeast Securities, Inc.. (Claimant) vs. Thomas J. Scipione (Respondent) Case Number: 99-05610 Hearini^ Site: New York, New York REPRESENTATION OF PARTIES Claimant, Northeast Securities, Inc., hereinafter referred to as "Claimant": Charles M. O'Rourke, Esq.. a sole practitioner. Woodbury, NY. Previously represented by: Joseph A. Vallo. Esq.. Joseph A. Vallo. P.A.. New York.

NASD DISPUTE RESOLUTION AWARD N.ASD DISPI TE RESOLLTION. INC. CASE: 99-05608 Charles M. Pilato and Linda Lohner Pilato, claimants vs. Ameritrade, Inc., respondent. ATTORNEYS: Claimants appeared Pro Se., Rochester, NY. For respondent appeared in house counsel, James J. Vishtadt, Esq., Bellevue. NE. DATE FILED: December 16. 1999 CASE SUMMARY: Claimanl alleged that respondent failed to cancel an order to "buy to close" 20 AT&T July 85 call option contr

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between A.A.I., Intemational, Inc., Mathieu Berman, Nadine Berman, et al. v. Salomon Smith Bamey Inc. and Ronald H. Reisman NASD Case No. 99-05605 Hearing Site: Boston, MA REPRESENTATION OF PARTTES Claimants, A.A.I. Intemational, Inc., Mathieu Berman, Nadine Berman, David Berman, hereinafter collectively referred to as "Claimants": Edward F. Fallman, Esq., Farrell Murphy &