Award NASD Dispute Resolution In the Matter of the Arbitration Between: 99-05570 Estate of Jack L. Middleton ig^Site: Philadelphia, PA Morgan Stanley DW Inc., John M. Reilly, and Edward Scarp Claimant, Estate of Jack L. Middleton, ("Claimants") was represented by Christopher B. Jones, Esq., Law Offices of Christopher B. Jones, P.C, Scranton, PA. Respondents, Morgan Stanley DW, Inc. ("MSDW") and Edward Scarp ("Scarp") were represented by Timo

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-05560 Bella Rosenstock, claimant vs. Chung W. Wong and Raymond James & Associates, Inc., respondents. ATTORNEYS: Claimant Bella Rosenstock ("Claimanl"), appeared Pro Se., Royal Palm Beach, Florida. For Respondents Raymond James & Associates, Inc. and Chung Wong (collectively, "Respondents"), Deborah J. Howard, Associate Corporate Counsel for Raymond James &

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: William J. Siegel, (Claimanl) vs. Dresdner Kleinwort Benson North America LLC, (Respondent) Case Number: 99-05554 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, William J. Siegel, hereinafter referred to as "Claimant": Scott M. Berman, Esq., Berlack, Israels & Liberman LLP, New York, NY. Respondeni, Dresdner Kleinwort Benson North America LLC, hereinafter

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-05550 Kathryn Queeney, claimant vs. First Union Brokerage Services, Inc. and Mark J. Aronson, respondents. ATTORNEYS: Claimant appeared Pro Se., Pitman, NJ. For Respondents appeared Brian A. Carlis, Esq. of the firm Stark & Stark, Princeton, NJ. DATE FILED: December 13, 1999 CASE SUMMARY: Claimant alleged that respondent fraudulently mislead her into transferring money from her

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-05546 Craig Stewart, claimant vs. Barron Chase Securities Inc., and Christopher Aguado, respondents. ATTORNEYS: Claimant: Craig Stewart appeared Pro Se.. Virginia Beach, VA. For respondent Barron Chase Securities, Inc., appeared Brett Alan Verona. Esq., Tampa, FL For respondent Christopher Aguado, appeared Robert Ouriel. Esq., New York. NY. DATE FILED: December 13. 1999 CASE SUMMAR

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-05545 GKN Securities Corp., Inc., claimant vs. Michael Gonzalez a/k/a Miguel Eduardo Gonzales, respondeni. ATTORNEYS: For Claimant GKN Securities Corp., Inc. appeared Michael Colombo, Vice President of GKN Securities Corp., Inc., New York, NY Respondent Michael Gonzalez a/k/a Miguel Eduardo Gonzales appeared Pro Se., Boca Raton, FL. DATE FILED: December 13, 1999 CASE SUMMAR

Award NASD Dispute Resolution, Inc In the Matter of the Arbitration Between NameofCl.rimant Pamela Jean Phillips Case No. 99-05528 Namei of Rf spondents Dean Witter Reynolds, Inc. Gaiy Norman Shaw gEPRESENTATlONOF PARTIES Claimant Pamela Jean Phillips ("Phillips") was represented by L. Steven Goldblatt, Esq., of Kodner, Watkins, Muchnick & Dunne, L.C., located in St. Louis, Missouri. Responderts Dean Witter Reynolds, Inc. ("Dean Witter")

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dennis L. Brooks a"hd Benita Brooks, Claimants v. William O. Foster, CM. Blair. W.O. Foster & Co., Inc., Owen-Joseph Asset Management Corp.. and Owen-Joseph Securities, Inc., Respondents Case Number: 99-05516 Hearing Site: San Diego, Califomia REPRESENTATION OF PARTIES For Claimants: For Respondents William O. Foster, Owen-Joseph Asset Management Corp., and Owe

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jean L. Reynolds and Ursula H. Reynolds, Claimants v. J. Alexander Securities, Inc., James Alexander, Merlin Blaine Riley, III and Gordon Kerr, Respondents Case Number: 99-05513 Hearing Site: Los Angeles. Califomia REPRESENTATION OF PARTIES For Claimants Jean L. Reynolds and Ursula H. Reynolds: Ryan K. Bakhtiari, Esq. Aidikoff & Uhl Beverly Hills, Califomia For Res

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Herscliel S. Jackson, Jr., M.D. Claimant Vs. David Lee Goodricli, David A. Boone, William Masucd, Robert Josepli Setteducati, Amy Bell, Michael Bergin and John Heldring, II, Respondents. PagP Miimlw 99-05510 i: Louisville, Kentucky Claimant Herschel S. Jackson, Jr. ("Claimant"), was represented by Charles C. Mihaiek, Esquire, of C