Award NASD Regulation, Inc. In the Matter of tiie Arbitration Between Name of Claimants Walter Wheeler and Ken Converse Case No. 98-04243 Name of Respondents Hanifen, Imhoff Clearing Corp. Ash& Co., Inc. JAR Securities Corp. REPRESENTATION OF PARTIES Claimants Walter Wheeler and Ken Converse ("Claimants") represented themselves. Respondent Hanifen, Imhoff Clearing Corp., n/k/a Fiserv Correspondent Services, Inc., ("Hanifen") was repr

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jacqueline Brandmeyer, Claimant vs. Kenneth Michael Myers and Thomas F. White & Co., Inc., Respondents. Case Number: 98-04230 Hearing Site: San Francisco, Califomia RKPRESENTATION OF PARTIES Claimant, Jacqueline Brandmeyer, hereinafter referred to as "Claimant": Casey C. Marciniak, Sacramento, Califomia Re.spondents, Kenneth Michael Myers ("Myers") and Thomas F. White & Co., Inc.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-03846 Gerald Soltis, Marie Soltis & Marilynn Brock claimants vs. WM Financial Services, Inc. and Washington Mutual, Inc., respondents. ATTORNEYS: Claimants Gerald Soltis, Marie Soltis and Marilynn Brock, ("Claimant"), appeared Pro Se., Seattle, WA. For Respondents, WM Financial Services, Inc. and Washington Mutual, Inc., ("Respondents"), appeared Susan L. Formaker, Esq. of Washingt

AHRXD NASD DISPUTE RESOLUTION, INC. 00-01163 In the Matter of Arbitration Between: Charvaka Duvvury and Vasu Duvvury, Claimants v. Richard V. Rizzo and Sean McManus, Respondents Simplified Industry Arbitration based upon written submissions from the parties. REPRESENTATION OF PARTIES Claimants Charvaka Duvvury and Vasu Duvvury appeared Pro Se. Respondent Richard V. Rizzo appeared through his counsel Michael S. Finkelstein of Garden City, New Yor

AWARD N.\SD Regulation, Inc. CASE: 98-04228 Lisa Halpin. Roger Halpin, and Ruth Halpin. Claimants vs. M.J. Wiiitman. Inc.. Respondent. ATTORNEYS: Claimants Lisa Halpin. Roger Halpin, and Ruth Halpin, appeared Pro Se., Carmel. IN For Respondent M.J. Whitman, Inc., appeared in-house counsel, Ian M. Kirschner. Esq., New York, NY DATE FILED: 11/10/1998 CASE SUMMARY: Claimants alleged negligence by respondent for failure to disclose an early redempti

AWARD NASD R^nlation, Lie. In the Matter of the Arbitration Between Name nf naimnTit (Gordon Warren 98-04226 Monty Reasor Myler Smidi Culver Investments rATION Claimant appeared pro se. Respondent Monty Reasor Myler ("Myler") appeared pro se. Respondent Smith Culver Investments ('Smith Culver") did not appear. Statement of Claim filed: November 3, 1998. Claimant's Response to Respondent Myler's Answer Statement filed: June 1, 1999,

AWARD NASD Regulation, Inc In the Matter of the Arbitration Between Name of Claimant David Pond and ' 98-04233 Hearing Situs: Denver, Colorado Name of Respondents Stifel, Nicolaus & Company, Inc. Thomas Deines REPRFSF.iVTATfnN OF PARTIK.S David Pond ("Claimant") was represented by Mark E. Maddox, Esq. and Jef&ey V. Geiy, Esq., Maddox Koeller Hargett & Caruso, Indianapolis, Indiana. Stifel, Nicolaus & Company, Inc. ("Respondent Stifel

Stipulate Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dorvin D. Leis and Dorvin D. Leis Co., Inc., (Claimants) vs. Gaines Berland, Inc., Anthony Fisone, Arthur M. Coffey, et al., (Respondents). Case Number: 98-04213 Hearing Site: Honolulu, Hawaii. REPRESENTATION OF PARTIES Dorvin D. Leis and Dorvis D. Leis Co., Inc.: Robert A. Uhl, Esq. Aidikoff & Uhl Beverly Hills, Califomia. Gaines, Berland Inc., Eric Lee Mill

Award NASD Regulation, Inc. In the Matter of the Arbitration Bebween: Mark MacCloskey, (Claimant) vs. First London Securities Corporation and Doug R. Nichols (Respondents). Case Number: 98-04210 Hearinq Site: Dallas. Texas REPRESENTATION OF PARTIES Claimant, Mark MacCloskey, ("Claimant"): Michael Rhode, Esq., Thompson, Coe, Cousins & Irons, L.L.P. Dallas, Texas. Respondents, First London Securities Corporation ("First London") and Doug R. Nichol

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jess Fields, (Claimant) vs. A.G. Edwards & Sons, Inc. and Bruce Camnnack, (Respondents). Case Number: 98-04208 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Jess Fields, hereinafter referred to as "Claimant": W. Perry Zivley, Esq., Houston, Texas. Respondents, A.G. Edwards & Sons, Inc. ("AGE") and Bruce Cammack ("Cammack"), hereinafter collectively referred