Stipulated Award NASD Dispute Resolution, Inc. Ehsan A. Rana And Abida E. Rana, V. Schroder & Co., Inc., Josephthal & Co., Inc., James Allen Villa, Michael Allen Bresner, James C. Witzel, Robert Joseph Seteducatti, Michael Frederick Brown, Kevin Gerard Upton, Gary Collins Liddicoat, Tracy Donald Taylor, H.J. Meyers & Co., Inc., S.G. Cowen Securities Corp., Shahid Malik, HJM Group, Inc., Ashi.sh M. Yagnik, and Prime Charter Ltd. Case Number: 99-05506 Ijc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: pr' 00-01166 Ted E. and Jane C. Petrie, JT TEN Name nftlif Respondent? H^flripg Site- Philadelphia, PA Morgan Stanley DW Inc. US Clearing Corp. (a division of Fleet Securities, Inc.) 1Rff.PttKSF.NT ATynfJ OF Claimants, Ted E. and Jane C. Petrie JT TEN, (collectively referred to as "Claimants") represented themselves. Respondent, Morgan Stanley DW Inc., ("MSDW") was repre

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants William D. Chalek Fred M. Chalek Case No. 99-05436 Name of Respondent PaineWebber, Inc. REPRESENTATION OF PARTIES For William D. Chalek and Fred M. Chalek, hereinafter collectively referred to as "Claimants": William D. Chalek, Esq., Flat Rock, North Carolina, appeared pro se and on behalf of Fred M. Chalek. For PaineWebber, Inc. ("PaineWe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-03911 Olde Discount Corporation, Claimant vs. Michael C. Kobold, Respondent. ATTORNEYS: Claimant appeared through in-house counsel Aaron L. Kleid, Detroit, ML Respondent appeared Pro Se, Melbourne, FL. DATE FILED: August 25, 1999. CASE SUMMARY: Claimant, a broker-dealer, alleged that Respondent, a customer, did not maintain the required minimum margin requirements in his account. T

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dennis W. Morgan, Claimant Case Number: 99-05483 Vs. Hearinq Site: Cleveland, Ohio Dean Witter Reynolds, Inc., and John W. Watson, Respondents. REPRESENTATION OF PARTIES Richard H. Drucker, Esquire, of Richard H. Drucker L.P.A., Inc., Cleveland, Ohio, represented Claimant Dennis W. Morgan ("Morgan"). Joseph F. Simms, Esquire, of Ulmer & Berne, Cleveland, Oh

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Craig J. Bausk Case No. 99-05492 First Union Capital Markets Corp. REPRESENTATION OF PARTIES For Craig J. Bausk ("Claimant"): Martin D. Edel, Esq. of the law firm of Miller &. Wrubel, P.C, New York, New York. For First Union Capital Markets Corp. ("Respondent"): Brian A. Carlis, Esq. of the law firm of Stark & Stark, Princeton, New Jersey. CASE INFORMAT

Stipulated Award NASD Dispute Resolution i'n the Matter of the Arbitration Between: DAVID M. McTAGGART AND EDYTHE C. McTAGGART, Claimants, TIMOTHY LYNN FORD, VEST AX SECtlRITIES CORPORATION, MARINER FINANCIAL SERVICES, INC., KENNETH D. WARNICK, ROBERT BOONE, DENNIS BROWN, WILLIAM GREGG, CLARK COLTON, and J. WILL PAUL, Respondents. Case Number: 99-05482 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimants, David M.

Award NASD Dispute Resolution, Inc. In tlie Matter of the Arbitration Between: First Union Securities, Inc., Claimant v. Robert MacGregor, Respondent Case Number: 99-05477 Hearing Site: Houston, TX REPRESENTATION OF PARTIES Claimant First Union Securities, Inc, ("Claimant") was represented by Diane C. Fisher, Esq., of Kane & Fisher, Ltd., located in Chicago, Illinois. Respondent Robert MacGregor ("Respondent"), of New York, New York, represented him

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David E. Floyd and Precision Sales, Inc. vs. Javier De Latorres and Morgan Stanley Dean Witter, Inc. Case Number: 99-05460 Hearing Site: Dallas, Texas REPRESENTATTON OF PARTTFS Claimants, David E. Floyd and Precision Sales Inc. ("Claimants"), hereinafter referred to as "Claimants": Michael L. Skinner, Esq., and Dallas, Texas. Respondents, Morgan Stanley Dean Witter Inc. ("

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Frank Tatsch, (Claimant) v. Merrill, Lynch. Pierce, Fenner & Simth, Inc. and John E. Jacobs, (Respondents) Case Number: 99-05458 Hearing Site: Albuquerque, New Mexico REPRESENTATTON OF PARTIES Claimant Frank Tatsch ("Tat.sch"): J. Wayne Woodbury, Esq.: Silver City, New Mexico. Respondent Merrill Lynch Pierce Fenner & Simth, Inc. ("Merrill Lynch") and John E. Jacobs ("J