Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Bradley A. Chicoine, (Claimant) vs. Piper Jaffray, inc. and Douglas Marx. (Respondents). Case Number: 98-04749 Hearino Site: Omaha, Nebraska REPRESENTATION OF PARTIES Claimant, Bradley A. Chicoine, hereinafter referred to as "Claimant": Richard H. Moeller, Esq., Berenstein, Moore, Berenstein, Heffeman & Moeller, Sioux City, Iowa. Respondent, Piper Jaffray, Inc. ("Piper Jaffray

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Robert Farrell, (Claimant) vs. M.S. Farrell & Co., Inc.. (Respondent) Case Number: 98-04747 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Robert Farrell, hereinafter referred to as "Claimant": Edward G. Wemer. Esq., Jackson, New Jersey. Respondent, M.S. Farrell & Co., Inc.. hereinafter referred to as "Respondent": Richard C. Fooshee, Esq., New York, New York

Final Order NASD Regulation, Inc. In the Matter of the Arbitration Between: Sidney Kittredge, (Claimant) vs. Shearson Lehman Brothers, Inc., (Respondent) Case Number: 98-04740 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Sidney Kittredge ("Kittredge"), hereinafter referred to as "Claimant": Irving D. Labovitz, Esq., Springfield, MA. Respondent, Shearson Lehman Brothers, Inc. ("Shearson"), hereinafter referred to as "Respon

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Richard M. Coleman, Claimant v. Charles Schwab & Co., Inc.. Respondent Case Number; 98-04739 Hearing Site: Los Angeles, Califomia REPRESENTATION OF PARTIES For Claimant: For Respondent: Richard M. Coleman, Esq. Coleman & Richards Malibu, Califomia Stephen Young, Esq. Keesal, Young & Logan Long Beach, Califomia CASE INFORMATION Statement of Claim filed

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Stephen Chu (Claimant) vs. Perpetual Securities, Inc., (Respondent). Case Number: 98-04732 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Stephen Chu, hereinafter referred to as "Claimant": Greg Scott Goodman, Esq. Goodman & Goodman, Mount Sinai, New York. Respondent Perpetual Securities, Inc., hereinafter referred to as "Respondent": Kevin Tung, Esq., Flushi

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Joseph J. Anastasi and Joseph J. Anastasi, Jr. (Claimants) vs. Salomon Smith Bamey. Inc. and Lorraine Laighold (Respondents) Case Number: 98-04727 Hearing Site: New York . NY REPRESENTATION OF PARTIES Claimants, Joseph J. Anastasi. ("Anastasi") and Joseph J. Anastasi. Jr. ("Anastasi Jr."), hereinafter collectively referred to as "Claimants": Peter J. Jacobs. Esq.. of Peter L. Jacobs A

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Edward A. Puchel (Claimant) vs. Axiom Capital Management, Inc. And Sean I. Dalton, (Respondents). Case Number: 98-4718 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimants, Edward A. Puchel ("Puchel"), hereinafter refened to as "Claimants": Paul W. Thomas, Esq., Law Offices of Paul W. Thomas & Associates. Carlsbad, Califomia. Respondents, Axiom Capital Management. I

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Christine F. Goodis Name of Respondents Michael Ralph Miller Timothy Blake Gabriel Summit Investment Group, Inc. NASD Case No. 98-04716 REPRESENTATION Christine F. Goodis ("Claimant") was represented by Karen A. Eriksen, Esq. of the law firm of Biancheria, Eriksen, Maliver &, Angell, Pittsburgh, Pennsylvania. Michael Ralph Miller ("Miller"), Tim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Montrose Capital Management, Ltd., (Claimant) vs. Elizabeth H. Fisher, Michael H. Rakowski, and Erik Dahlquist, (Respondents) Case Number: 99-03895 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Montrose Capital Management, Ltd., hereinafter referred to as "Claimant": Marc R. Rosen, Esq., Gersten, Savage & Kaplowitz, LLP, New York, NY. Respondent Elizabeth F

Award NASD Regulation. Inc. In the Matter of the Arbitration Between: William B. Greenman, (Claimant) vs. M.S. Farrell & Company, Inc., Martin F. Schacker, and Thomas A. Gallo, (Respondents) Case Number: 98-04709 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, William B. Greenman, (hereinafter referred to as "Claimant"): Marc S. Gottlieb, Esq.. Beckman, Millman & Sanders, LLP, New York, NY. Respondents, M.S. Farrell & Company, Inc. ("