N.A.S.D. AWARD NATIONAL ASSOCIATION OF KM jjifi'i In the Matter of the Arbitration Between Q£ Marc Meshefcow vs. NASD #91-02885 Name of Bradstreet Capital, Inc. AmRri trade/ Inc. First National Brokerage Services, Inc. Robert Wai ther Jonathan Bloom Martin Tucker Herbert Greenberg John. Ricketts Janes Walker, in For Claimant: Richard Sacks, of Investors Recovery Service, Nbvato, For Respondents (Bradstreet Capital, in

N.A.S.D. AWRKD ASSCCTKTICN OF SUUUklTlbS DERLERS In the Matter of the Arbitration Between of NASD #91-02804 T.at-mm HllttOn, Tnn Trina Wherry For Clainant; Kevin F. Kaefe, Esq., Seattle, Washington For Respocdents: Francla L. Van Dusea, Jr., Esq., Miller, Mash, Wiener, Eager & Carlsea, Seattle, Washington. Stataaeat of HaiTn filed: September 9, 1391 dainant's Subsiisadca. Agreaneat signed: August 19, 1991 Statement of Answer filed by Res

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant * Landberg Family Trust v. - Arbitration No. 97-04132 Name of Respondent Brookstreet Securities Corporation and Jeffrey C. Tenney REPRESENTATION For Claimant: Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California For Respondent Brookstreet Securities Corporation: H. Thomas Fehn, Esq.

STIPULATED AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Paul L. Kessler v. Arbitration No. 97-04107 Name of Respondent Interfirst Capital Corporation, Baraban Capital Corporation Gene Phillips, Bradford A. Phillips, Robert Wilson, and Stuart S. Greenburg REPRESENTATION For Claimant: Timothy D. McGonigle, Esq. 1999 Avenue of the Stars, 15* Floor Los Angeles, CA 90067 For Respondent

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jonathan Hakala, (Claimant) vs. BT Securities Corporation. (Respondent) Case Number: 97-04036 Hearing Site: New York. NY REPRESENTATION OF PARTIES Claimant, Jonathan Hakala, hereinafter referred to as "Claimant": Joshua Friedman, Esq.. Law Offices of Joshua Friedman, Larchmont, NY. Respondent. BT Securities Corporation, hereinafter referred to as "Respondent": Kenneth J. Turnbull,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Laurence E. Bowne Case No. 97-04011 Names of Respondents A.G. Edwards & Sons, Incorporated S. Rawls Fortenberry Robert F. Nye REPRESENTATION OF PARTIES For Claimant: Stephen D. Milbrath, Esq. of Allen, Dyer, Doppelt, Milbrath & Gilchrist, Orlando, FL. For Respondents: M. Jane Matoesian, Esq., Associate Vice President and Counsel, A.G. Edwards &

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-03505 Raymond A. Webster, claimant vs. W.J. Nolan and Company, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Port Washington, NY. For Respondent appeared Brian A. Carlis, Esq., of the firm, Stark & Stark, Princeton, NJ. DATE FILED: August 2, 1999 CASE SUMMARY: Claimant alleged that he purchased shares of Oak Technology based on his broker's solicitation and advice. However

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Burton Shapiro 97-03993 Name of Respondents Dean Witter Reynolds, Inc. Arthur Wasserman REPRESENTATION Claimant Burton Shapiro ("Claimant") was represented by George W. Liebmann, Esq., Liebmann & Shively, Baltimore, MD. Respondents Dean Witter Reynolds, Inc. ("DWR") and Arthur Wasserman ("Wasserman") were repres

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Willard R. Nicholson Marion T. Nicholson 97-03916 Investors Associates, Inc. Richard Kim REPRESENTATION For Claimants Willard R. and Marion T. Nicholson ("Claimants") appeared claimant Willard T. Nicholson prose. For Respondent Investors Associates, Inc. ("Investors") appeared Lawrence R. Gelber, Esq., in-house counsel for Investors Associates, Inc

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Mamft nf Claimant Stephen B.Sawtelle Case No. 97-03642 (Master Case - Consolidated for hearing with 99-05327) r>f 1? Waddell & Reed, Inc. Estate of Larry Anderson Steven Anderson Edward Blonski Robert Gjerlow Robert Lee Hechler Andrew Kahn Paula Levy Richard Moro Janet Dember Nichols Dennis Charles Ritchie David J. Ross Sc