Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Liya Levinsky, (Claimant) vs. Financial One Group, Inc. d/b/a Prime Financial Services, Asset & Financial Planning, Ltd., Prime Capital Services, Inc., and Robert Ryerson, (Respondents) Case Number: 99-05604 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Liya Levinsky, hereinafter referred to as "Claimant": SpencerB. Robbins, Esq., Law Offices of Robbins

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Washington Group, Ltd. (Claimant) v. Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and John Cruz (Respondents) Case Number: 99-03932 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Washington Group, Ltd. ("Washington") hereinafter referred to as "Claimant": Steven R. Klein, Esq., Cole

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant H. Brooks Johnson Case No. 99-05598 Names of Respondents Pmdential Securities, Inc. (jeorge M. Johnson J.J.B. Hilliard, W.L. Lyons, Inc. REPRESENTATION OF PARTIES For H. Brooks Johnson, hereinafter referred to as "Claimant": Donald M. Brown, Jr., Esq. and Harold H. Martin, Esq., Brown & Associates, PLLC, Charlotte, North Carolina. For Pmdent

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Carol Tomasetti, Individually and as Trustee of Carol Tomasetti Rev. Trust, U/A dated 8/2/91 Case No. 99-05595 Name of Respondent American Municipal Securities, Inc. REPRESENTATION OF PARTIES For Carol Tomasetti, Individually and as Trustee of Carol Tomasetti Rev. Trust, U/A dated 8/2/91, hereinafter referred to as "Claimant": Allan J. Fedor, Esq.,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Nayan V. Kisnadwala and Sonal Kisnadwala, (Claimants) vs. First Republic Group, LLC, (Respondent) Case Number: 99-05594 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Nayan V. Kisnadwala and Sonal Kisnadwala, hereinafter collectively referred to as "Claimants": Krishnan Chitbir, Esq., Law Office of Krishnan Chitmr, New York, NY. Respondent, First Rep

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: William Hartstein, (Claimant) vs. CIBC Oppenheimer, (Respondent) Case Number: 99-05593 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, William Hartstein, hereinafter referred to as "Claimant", appeared pro se. Respondent, CIBC Oppenheimer, hereinafter referred to as "Respondent": David L. Becker, Esq., Executive Director and Associate General Counsel, CIBC World M

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Southwest Company v. Donald D. Schellpfeffer, DARS Limited, and Donald Schellpfeffer as Custodian for the Benefit of Shane E. Schellpfeffer Case Number: 99-5588 Hearing Site: Hearing by Telephone REPRESENTATION OF PARTIES Claimant, First Southwest Company ("First Southwest"), hereinafter referred to as "Claimant": Cheryl Jerome Moore, Esq., Arter & Hadden, Dallas, Texas.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Juan Ramirez, Claimant vs. Jeffery Wayne Cimbal, Richard Henry Pawlikowki, Jr., & SecWest Securities, Inc. Respondents Case Number: 99-05587 Hearing Site: Houston, TX REPRESENTATION OF PARTIES Claimant, Juan Ramirez, hereinafter referred to as "Claimant" was represented by Derly J. Urbie, Esq. of The Law Offices of Francisco J. Salana, Laredo, TX. Respondents, Jeffery Wayn

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Middleton White Foundation, Inc. Case No. 99-05583 Names of Respondents Salomon Smith Bamey, Inc. The Robinson-Humphrey Company, LLC Ty Cook Jeffirey S. Hull REPRESENTATTON OF PAR-^^^S For Middleton White Foundation, Inc., heremafter referred to as "Claunant": Gary A. Barnes, Esq., Gambrell & Stolz, L.L.P., Atlanta, Georgia. For Salomon

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James J. Fonlana, Jr. and Carol R. Fonlana, Dennis L. Ridley, Bemard E. Felix, Rev. Thomas R. Craddock, Mary A. Craddock, Thomas Williams, David S. Carpenter and Nancy C. Carpenter, Claimants, Vs. Washington Square Securities, Inc. Respondeni. Case Number: 99-05582 Hearing Site: Denver, Colorado. REPRESENTATION OF PARTIES Claimants, James J. Fonlana, Jr. an