AWARD NASD Regulation, Inc. CASE: 98-04503 Mary Ann San Clemente, claimant vs. Thomas F. White & Co., Inc., respondent. ATTORNEYS: For Claimant appeared Steve Buchwalter, Esq., Encino, CA. For Respondent appeared in-house counsel Michael G. Bolgatz, Esq., San Francisco, CA. DATE FILED: November 27, 1998. CASE SUMMARY: Claimant alleged that respondent failed to purchase and sell options according to claimant's instmctions. which resulted in losses an

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Roger M. Rowley, individually and as a trustee of the Rowley Family Revocable Trust, Claimants, vs. Heritage West Securities, Inc. and Martin L. Rising, Respondents. Case Number: 98-04502 Hearing Site: Phoenix, Arizona REPRESENTATTON OF PARTIES Claimants, Roger M. Rowley, individually and as a trustee of the Rowley Family Revocable Trust, hereinafter collectively referred to as "Claim

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant R.J. Steichen & Company and 98-04496 Name of Respondent Bertrand T. Ungar REPRESENTATION OF PARTIES R.J. Steichen & Company ("Claimant") was represented by F. Chet Taylor, Esq., R.J. Steichen & Company, Minneapolis, Minnesota. Bertrand T. Ungar ("Respondent") did not appear at the hearing. CASE INFORMATION The Statement of Claim was filed on or abou

Award NASD Regulation, Inc. In tiie Matter of tiie Arbitration Between Names of Claimants Charles W. Dunn Charles W. Dunn Revocable Tmst Charles Dunn & Associates Case No. 98-04494 LNA Capital Corp. Barington Capital Group, L.P. John Leonard Donahue James Anthony Mitarotonda Marc Seth Cooper John Michael Rizzo Edwin Kantor Jerome Snyder REPRESENTATION OF PARTIES For Charles W. Dunn ("Dunn"), Charles W. Dunn Revocable

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of (j!l^in|i^ni;s Irving and Marilyn Chait Case No. 98-04493 N^^m^s of Respondents Dean Witter Reynolds, Inc. John J. Stevens Donald Loclcshin REPRESENTATION OF PARTIES For Irving and Marilyn Chait, hereinafter collectively referred to as "Claimants": Darren C. Blum, Esq. of the Law Offices of Darren C. Blum. P.A., Hollywood, FL. For Dean Witter Reynol

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Gary L. Anderson and Jane Anderson, Ciainnants vs. M.S. Farrell & Co., Inc. and Gregory Gallo, Respondents: Case Number: 98-04491 Hearing Site: Kansas City, Missouri REPRESENTATION OF PARTIES Claimants, Gary L. Anderson and Jane Anderson ("Claimants") were represented by David M. Minnick, Esq., Berkowitz, Feldmiller, Stanton, Brandt, Williams & Stueve, LLP, Kansas City, Missouri.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Thomas Boulet Jr., Trustee of the Boulet Trust, Claimant vs. D.A. Davidson & Co., Respondent. Case Number: 98-04481 Hearing Site: Phoenix, Arizona REPRESENTATTON OF PARTTES Claimant, Thomas Boulet Jr., Trustee of the Boulet Trust, hereinafter referred to as "Claimant" was represented by John J. Oitzinger, Esq., Helena, Montana. Respondent, D.A. Davidson &. Co., hereinafter referred to

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE:99-03862 PaineWebber, Inc., claimant vs. Robert D. Terry, respondent. ATTORNEYS: For Claimant PaineWebber, Inc. ("Claimant"), Romaine L. Gardner, Esq., Staten Island, New York. Respondent Robert D. Terry ("Respondent") appeared Pro Se., San Francisco, California. DATE FILED: 08/23/1999 CASE SUMMARY: Claimant alleged that in July of 1997, a former client of Res

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Sara Catledge, Claimant v. A.G. Edwards & Sons, Inc. and Charles Elam "Bud" Hilton, Respondents. Case Number: 98-04483 Hearing Site: San Diego, Califomia REPRESENTATION OF PARTIES For Claimant: Robert Scott Dreher, Esq., and Matthew R. Miller, Esq. Jeffrey & Dreher, L.L.P. San Diego, Califomia For Respondents: Jane Matoesian, Esq. A.G. Edwards & Sons, Inc.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-04475 Richard Marksbury, claimant vs. Rita M. Abernathy and Jim Stowers, III, respondents. ATTORNEYS: Claimant Richard Marksbury ("Claimant"), appeared Pro Se., New Orleans, LA. For Respondents Rita M. Abernathy and Jim Stowers, III, (collectively "Respondents"), appeared Mark H. Nicholas, Esq., of American Cenmry Investment Services, Inc., Mountain View, CA.