Award NASD Regulation, Inc. In the l\4atter of the Arbitration Between: Dorothy l\4inchen, (Claimant) vs. TradeStar investments, (Respondent). Case Number 98-04976 Hearing Site: Houston. Texas REPRESENTATION OF PARTIES Claimant, Dorothy Minchen, hereafter referred to as "Claimant": Abel K. Manji, Esq., Steve A. Bryant & Associates, P.C, Houston, Texas. Respondent, TradeStar Investments, Inc., hereinafter referred to as "Respondent": Karen McRoberts

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Scott Broffman, Claimant v. Bear Steams & Co., Inc., and Robert A. Kaiser, Respondents Case Number: 98-04965 Hearing Site: Los Angeles, Califomia REPRESENTATION OF PARTIES For Claimant: Valerie F. Horn, Esq. Law Offices of Valerie F. Horn Beverly Hills, Califomia For Respondents: John R. Loftus, Esq. Keesal, Young & Logan Long Beach, Califomia CASE INFORMATION

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John S. Ziegler, Individually, and on behalf of John S. Ziegler Money Purchase Plan, John S. Ziegler Sep. IRA Account, and John S. Ziegler Rollover IRA Account, Claimants v. A. G. Edwards & Sons, Inc., Kerry J. Mangano, and Timothy C. Metcalf, Respondents Case Number: 98-04960 Hearing Site: Los Angeles, Califomia REPRESENTATION OF PARTIES For Claimants: Jeff Dermis Ferentz, Esq.

Award NASD Dispute Resolution, Inc. in the Matter of the Arbitration Between: Craig Larson, Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. Case Number: 98-04958 Hearing Site: Milwaukee. Wisconsin REPRESENTATION OF PARTIES Claimant, Craig Larson, "Larson", hereinafter referred to as "Claimant", was represented by James J. Eccleston, Esq., of Eccleston & Associates, P.C, Chicago, Illinois. Respondent, Merrill Lynch, Pierce,

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Melvin M. Kramer, Trustee of the Melvin M. Kramer & Rosalie J. Kramer Trust V. Name of Respondent Discover Brokerage Direct, Inc. Arbitration No. 98-04957 For Claimant: For Respondent: REPRESENTATION George David Howard, Esq. Law 0£Gces of George David Howard, Esq. San Diego, Califomia Robert T. Sullwold, Esq. Sullwold &

Award NASD Regulation. Inc. In the Matter of the Arbitration Between: Morgan Keegan & Company, Inc., Claimant vs. John L. Greer, III, Respondent. Case Number: 98-04953 Hearing Site: Nashville. Tennessee REPRESENTATION OF PARTIES Claimant. Mo^an Keegan & Company, Inc.. "Morgan Keegan'. hereinafter refen-ed to as "Claimanf, was represented by James T. R'ltt. Esq., of Memphis Tennessee. Respondent, John L. Greer, III, "Greer", of Knoxville, Tennessee,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 98-04949 Mitchell Lubitsch, Myra Lubitsch and Sol Lubitsch claimants vs. Russo Securities, Inc., Anthony P. Castore and Christian C Nigro respondents. ATTORNEYS: Claimants Mitchell Lubitsch, Myra Lubitsch and Sol Lubitsch ("Claimant"), appeared Pro Se., through Mitchell Lubitsch, Staten Island, NY. For Respondent, Russo Securities, Inc. ("Russo"), appeared Marc S. Gottiieb, Esq. of Beckma

AWARD NASD Regulation, Inc. CASE: 98-04948 Fool & Fools Limited Partnership, claimant vs. Waterhouse Securities, Inc., respondent. ATTORNEYS: Claimant, Fool & Fools Limited Partnership appeared through its General Partner, Hongzhou Dai. Chicago, IL For Respondent Waterhouse Securities, Inc., appeared in-house counsel, Janis Campanella, Esq., New York, NY DATE FILED: 12/28/1998 CASE SUMMARY: Claimant alleged that two market orders were entered be

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-03809 First Albany Corporation, Claimant vs. Salvator Sollecito and Mary Sollecito, Respondents. ATTORNEYS: For Claimant, First Albany Corporation ("Claimant"), appeared Brian F. Mumford, Esq., of the law firm of Harvey & Mumford, Albany NY. Respondents, Salvator Sollecito and Mary Sollecito, did not respond to the Statement of Claim. DATE FILED: August 19, 1999. CASE SUMMARY: Clai

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-04947 David P. Garrahan, claimant vs. Ameritrade, Inc., respondent. ATTORNEYS: Claimant, David P. Garrahan, ("Claimant"), appeared Pro Se., Prescott, AZ. For Respondent, Ameritrade, Inc., ("Respondent"), James A. Ricketts, Vice President, Ameritrade, Inc. Bellevue, NE. DATE FILED: December 28, 1999 CASE SUMMARY: Claimant alleged diat on December 9, 1998, R