Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Everen Securities (Claimant) vs. Paul Carney (Respondent) Case Numljer: 98-04547 Hearing Site: Chicago, Illinois RKPRESENTATION OF PARTIES Claimant, Everen Securities, Inc., n/k/a First Union Securities, Inc., ("Everen"): Steven M. Malina, Esq., Ungaretti & Harris, Chicago, Illinois. Respondent, Paul E. Carney ("Camey") was not represented and did not appear. CASEINFORMATfON S

Amended Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Aero-Space Port Intemational Group, Andy Chen, Heidi Chen and Tony Chen, Claimants vs. Ragen MacKenzie, Inc. and David Jon Samo, Respondents. Case Number: 98-04542 Hearing Site: Seattle, WA This award was amended by the arbitration panel to include paragraph number 1 under the section entitled "Other Issues Considered and Decided." RKPRESENTATION OF PARTTES Claimants, Aero

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Stephen Edel and Catherine Edel, Claimants vs. Gregory Hans Pritz, Michael Wayne Bishop, II, Simeon Rey Hernandez, III, Robert Thomas Securities, Inc., and Raymond James Financial Services, inc., Respondents. Case Number 99-03867 Hearing Site: Minneapolis, MN REPRESENTATION OF PARTIES Claimant(s), Stephen Edel (Stephen) and Catherine Edel (Catherine), herein

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Norma Gazaleh Case No. 98-04540 Names of Respondents New England Securities Corp. George Banks REPRESENTATION OF PARTIES For Norma Gazaleh ("Gazaleh"), hereinafter also referred to as "Claimant": Russell C. Silverglate, Esq. of Dickenson Murdoch Rex and Sloan, Boca Raton, Florida. For New England Securities Corp. ("NES"), hereinafter also referr

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant A.G. Edwards & Sons, Inc. Case No. 98-04531 Name of Respondent Reza A. Mokhberi REPRESENTATION OF PARTIES For Claimant, A.G. Edwards & Sons, Inc. ("Edwards"), hereinafter referred to as "Claimant": Norman S. Buckvar, Litigation Counsel, A.G. Edwards & Sons, Inc. For Respondent, Reza A. Mokhberi ("Mokhberi"), hereinafter referred to as "Respondent": Gera

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURmKS DEALERS REGULATION. INC. CASE: 9»-04529 Lawrence D. HoHiDcister, claimaot vs. Discover Brokerage Direct, Inc., respondent. ATTORNEYS: Claimant Lawrence D. Hoffmeisier appeared Pro Se., Hunt&viUe. Alabtma. For RespoDdeot Diacover Brolcerage Direct, Inc., Judith M. Rosenberg. Esq,, San Francisco, Califotnia. DATE FILED: 11/30/1998 "" ~~ CASE SUMMARY-. Claimant alleged tluut respondent faHod to

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Warren A. Hardy, (Claimant) vs. Morgan Wilshire Securities, Inc., Walsh Manning Securities, LLC, Barry Cassese, Paul Wasserman, James Thomas Shanley, Frank James Skelly, III, Wesley Allen Rusch, Craig H. Gross, Michael J. Finnan, and Charles Carrillo (Respondents) Case Number: 98-04520 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Warren A. Hardy ("Hardy"

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Stephen R. Birch, Claimant v. Investors Associates, Inc., James S. Marxer, and Richard Preisig, Respondents. Case Number: 98-04513 Hearing Site: Los Angeles, Califomia REPRESENTATION OF PARTIES For Claimant: John R. Rydell, II, Esq. Griffith 8c Thomburgh Santa Barbara, Califomia Respondents Investors Associates, Inc., James S. Marxer, and Richard Preisig: Did Not Appear

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Elaine Harris, (Claimant) vs. Gerald Litwin and Wheat First Securities, Inc., (Respondents) Case Number: 98-04512 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Elaine Harris, hereinafter referred to as "Claimant": Richard D. De Vita, Esq., De Vita & Associates, Hoboken, NJ. Respondent, Wheat First Securities, Inc. ("Wheat"): Edwin A. Zipf, Esq., Bressler, Amery

AWARD NASI) Regulation, Inc. C.\.SH: ^)8-(.)4.^07 Kerry D. & Duneiic Fricks()n. claimanis vs. 11..I. .Meyors & Co.. Inc., SG Cowen Securities Corp.. and Tim Bell, respondents. ATTORNEYS: Claimants appeared Pro Se. La Crescenta. CA. Respondent H.J. Meyers & Co., Inc., did not respond to the Statement of Claim. For respondent SG Cowen Securities Corporation, appeared in-house counsel. Peter Byei. ".. ^.. New York. NY. Respondeni Tim Bell appeared