Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jerre and Louise Tarpening, Claimants vs. John Wheeler, Anthony Piazza and A.G. Edwards & Sons, Inc., Respondents. Case Number: 98-04355 Hearing Site: Seaside, Califomia REPRESENTATION OF PARTIES Claimants, Jerre and Louise Tarpening, hereinafter collectively referred to as "Claimants": James Jay Seltzer, Esq., Emeryville, Califomia Respondent, John Wheeler ("Wheeler"), hereinafte

Award NASD Dispute Resoiution, Inc. In the Matter of the Arbitration Between: Irene P. Cafcalas Tmst, Claimant vs. Terrence Hugh Howard and Mutual Securities, Inc., Respondents. Case Number 98-04354 Hearing; Site: Via Conference Call REPRESENTATION OF PARTIES Claimant, Irene P. Cafcalas Trust, hereinafter referred to as "Claimant": James J. SuUivan, Esq., Novato, Califomia Respondents, Terrence Hugh Howard and Mutual Securities, Inc., hereinafter re

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Ewa Beshlian and Ramon Granda, (Claimants) vs. Dresdner Kleinwort Benson North America, LLC a/k/a Dresdner Securities (USA) Inc., (Respondent) Case Number: 98-04350 Hearing Site:'New York, New York REPRESENTATION OF PARTIES Claimants, Ewa Beshlian ("Beshlian") and Ramon Granda ("Granda"), hereinafter collectively referred to as "Claimants": David B. Wechsler, Esq., Wechsler Bursky & C

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Robert T. Schram and 98-04349 Name of Respondent PNC Brokerage Corp. REPRESENTATION OF PARTIES Robert T. Schram ("Claimant") was represented by William H. Blessing, Esq., Cincinnati, Ohio. PNC Brokerage Corp. ("Respondent") was represented by Jeffrey F. Peck, Esq., Thompson Hine & Flory, LLP, Cincinnati, Ohio. CASE INFORMATION The Statement of Claim

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Todd and Cynthia Rossbach and 98-04348 Columbus, Ohio Name of Respondents Merit Capital Associates, Inc. Robert Fitzpatrick Russell William Newton John Laurence Madden Thomas Nile Anthony, Jr. Oliver Claude Wares, III REPRESENTATION OF PARTIES Todd and Cynthia Rossbach ("Claimant") appeared pro se. Merit Capital Associates, Inc. ("Respo

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Estate of Marjorie M. Nugent, by and through Rod M. Nugent, Executor (Claimant) vs. Prudential Securities, Inc., (Respondent). Case Number: 98-04344 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Estate of Majorie M. Nugent, by and through Rod M. Nugent, Executor, hereinafter referred to as "Claimant": Michael C. Falick, Esq., Rothfelder & Falick, Houston, Texas.

Award NASD Dispute Resolution, Inc. il mi In the Matter of the Arbiti^tion Between: Daryl L. Foster and NIcklyn B. Foster, (Claimants) vs. Centex Securities Coiporation and Jaines Chincholl, (Respondents). (^flse Number: Hearinq Site: 98-04341 St. Louis, Missouri REPRIgSENTATIgN OF PARTIES Claimants, Daryl L. Foster and Nicklyn B. Foster, hereinafter (collectively) refened to as "Claimants": John R. Peridns, Esq., Peri^ins Law Office, Jefferson

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant International Assets Advisoiy Cafporation 98-04339 Master File Morgan Stanley Dean Witter & Conq>aiQr James Scott Whitmore CONSOLIDATED WITH In the Matter of the Arbiuation Betwerai James Scott Whitmore 98^565 IntematioDal Assets Advisoiy Corporation REPRESENTATION For Imsmational Assets Advisoiy Corporation ("lAAC"): Stanley T. Padgett, Esq

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Debra Imus, Claimant v. EVEREN Securities, Inc. and Edwin Marvin Wilkerson, Jr., Respondents Case Number 98-04635 EVEREN Securities, Inc. v. Gary Imus and E>ebra Imus, Respondents and Third-Party Claimants v. Edward Wilkerson, Thiid-Party Respondent Case Number 99-01165 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Debra Imus and Gary Imus: James

Award NASD Regulation, Inc. In the Matter of the Arbitration "Between Name of Claimant Steven Korman vs. Case No. 98-04336 Names of Respondents Capital Planning Associates, Inc. Royal Palm Investments, Ltd. Spencer Edwards, Inc. Earl Rusnak James S. Morrill REPRESENTATION OF PARTIES Claimant, Steven'Korman ("Claimant") was represented by Thomas J. Schuchert, Esq. of the law firm Schuchert & Associates, Pittsburgh, PA. Respond