Award NASD Dispute Resolution, inc. In the Matter of the Arbitration Between: Robert W. Minerich, Claimant Case Number: 98-04575 Vs. Hearing Site: Lexington. Kentuclty David Glen Dowell and J.C. Bradford & Co., now known as UBS PaineWebber, Respondents and Third-Party Claimants Vs. Gwen Minerich. Third-Party Respondent. REPRESENTATION OF PARTIES Charles C. Mihaiek, Esquire, Charles C. Mihaiek, P.S.C, Lexington, Kentucky,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael J. Levin, Claimant vs. Everen Securities, Inc. and Grant Slocumb, Respondents. Case Number: 99-03873 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Michael J. Levin ("Levin"), hereinafter referred to as "Claimant": Michael J. Levin, Danville, California Respondents, Everen Securities, Inc. ("Everen"), Mark Breeden and Grant Slocumb, hereina

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Roger Saunders, (Claimant) vs. Gabriele, Hueglin & Cashman, Inc. and Jarrett Worst (Respondents) Case Number: 98-04574 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Roger Saunders, hereinafter referred to as "Claimant": Stephen M. Honig, Esq., Goldstein & Manello, P.C, Boston, MA. Respondents, Gabriele, Hueglin & Cashman, Inc. ("Gabriele") and Jar

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Adam Gllman, (Claimant) vs. Lloyd Wade Securities, Inc., David Lloyd Rutkoske, John Anthony Gentilella, Jr., Harvey Stephen Morrow (Respondents). Case Number: 98-04573 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Adam Oilman ("Claimant"): William B. Federman, Esq., Day, Edwards, Federman, Propester, et. ai. Oklahoma City , OK. Respondents, Lloyd Wade Securities,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Alexander S. Cascione, (Claimant) vs. A.S. Goldmen & Co., Inc., John R. Piscopo, Charles J. Principato, Jr. and Joseph J. Piscopo, (Respondents) Case Number: 98-04572 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Alexander S. Cascione ("Cascione"), hereinafter referred to as "Claimant": Thomas G. Cascione, Esq., Cascione, Purcigliotti & Galluzzi, P.C, New York,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Tim Brown (Claimant) vs. Barron-Chase Securities, Inc., Tyler Wilson and Craig Leszczak (Respondents). Case Number: 98-04571 Hearing Site: San Francisco, Califomia. REPRESENTATTON OF PARTIES Tim Brown "Claimant": William A. Higgins, Esq., Law Offices of WiUiam A. Higgins, San Francisco, Califomia. Barron Chase Securities "BCS": Brett A. Verona, Esq., Law Offices of Brett A. Verona

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: JEFFREY A. JANSEN and SALLY J. JANSEN, Claimants, V. FARID DALLAL a/k/a FRED ASHER, PRESTON LANGLEY ASSET MANAGEMENT, INC., JB OXFORD &, COMPANY, Respondents. Case Number: 98-4567 Hearing Site: Milwaukee, Wisconsin REPRESENTATION OF PARTIES Claimants, Jeffrey A. Jansen and Sally J. Jansen, hereinafter collectively referred to as "Claimants": John P. Axelrod, Esq., DeWitt R

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-04560 Lawrence Dean Parks, claimant vs. Ameritrade Clearing, Inc. n/k/a Advanced Clearing, Inc., and Ameritrade, Inc., respondents. ATTORNEYS: Claimant, Lawrence Dean Parks, appeared Pro Se, Durango, Co. Respondent, Ameritrade Clearing, Inc. n/k/a Advanced Clearing. Inc., appeared through it's Vice President/Controller, William T. Yates, Omaha, NE. Respond

AWARD NASD Regulation, Inc. CASE: 98-04555 Thomas R. Treynor and Sandra Treynor. claimants vs. American E.xpress Financial Advisors. Inc., respondent. ATTORNEYS: For Claimants appeared Kevin A. Hansen. Esq. of the firm Hansen & Herrick, P.C, Grand Rapids, MI. For Respondent appeared in-house counsel. Gary Irwin. Esq. - Minneapolis. MN. DATE FILED: December 1, 1998 CASE SUMMARY: Claimants alleged respondent induced them to purchase Carlyle Real E

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Charles Schwab &. Co., Inc. and 98-04551 Indianapolis, Indiana Name of Respondent Elizabeth Symons REPRESENTATION OF PARTIES Charles Schwab & Co., Inc. ("Claimant") was represented by Richard ICaroly,;Esq:i Charles Schwab & Co., Inc., San Francisco, Califomia. Elizabeth Symons ("Respondent") was represented by Mark E. Maddox, Esq., Maddox, Koeller H