Final Order NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Edna Clarke, (Claimant) vs. Citicorp and Citicorp Investment Services, (Respondents) Case Number: 99-05071 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Edna Clarke, hereinafter referred to as "Claimant": Charmaine M. Stewart, Esq., Charmaine M. Stewart & Associates, Rosedale, NY. Respondents Citicorp and Citicorp Investment Services ("CIS"), herein

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Edward A. Bent, (Claimant) vs. Charles Schwab & Company, Inc. and Tracey L. McMahan, (Respondents). Case Number. 99-04810 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Edward A. Bent: Blake Weston, Esq., San Francisco, California. Charles Schwab & Company, Inc. and Tracey L. McMahan: Sean Meehan, Esq., Charles Schwab & Company, Inc., San Francisco, Cal

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Martin W. Huffman and Sharon M. Huffman, Claimants v. John W. Huemoeller, n, Prudential Securities, Inc., PaineWebber, Inc., and FSC Securities Corporation, Respondents Case Number: 99-04769 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: For Respondent John W. Huemoeller, II: For Respondent Prudential Securities, Inc. For Respondent Pa

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ulla Carina West and Michelle Hatzis Sullivan, (Claimants) vs. Legg Mason Wood Walker, Incorporated, (Respondent) Case Number: 99-02899 Hearing Site: Philadelphia, Pennsylvania REPRESENTATION OF PARTIES Claimants, Ulla Carina West ("West") and Michelle Hatzis Sullivan ("Sullivan"), hereinafter collectively referred to as "Claimants": Francis J. Murphy, Esq., Murphy Spadaro & L

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04661 Prabhjot Kaur Basi and Gunwant Kaur Basi JTWROS, Claimants vs. Luther Haugan and James Christopher Shelburne, Respondents. CASE: 00-00901 CISC Oppenheimer, Claimant V. Prabhjot and Gunwant Kaur Basi, Respondents ATTORNEYS: 99-04661 Claimants Prabhjot and Gunwant Kaur Basi ("Claimants"), appeared Pro Se., Bellevue, WA. For Respondents Luther D. Haugan and James Christopher

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bernard Feldman, Susan Feldman, and Zane Feldman, Claimants v. Fiserv Correspondent Services, Inc., Respondent Case Number: 99-04614 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Arthur S. Leider Investors Arbitration Specialists San Diego, California For Respondent: Steven D. Plissey, Esq. Williams, Youle & Koenigs, P.C.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Cynthia David, (Claimant) vs. Raymond Louis Dirks, (Respondent) Case Number: 99-04430 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Cynthia David, hereinafter referred to as "Claimant": Robert L. Seaman, Esq., a sole practitioner, New York, NY. Respondent, Raymond Louis Dirks, hereinafter referred to as "Respondent": Jeffrey S. Eisenberg, Esq., Law O

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lillia C. Celaya, Maria J. Celaya, and Nerio Celaya, Claimants v. NY Life Securities, Inc. and Lee B. Nole, Respondents Case Number: 99-04339 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California For Respondent NY Life Securities, Inc.: Robert J. McKennon, Esq. Bar

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kenneth Wolcott Family Trust dated 12/7/89, Claimant v. Dean Witter Reynolds Inc. and R. Thomas Caffery, n, Respondents Case Number: 99-04311 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Donald B. McNelley, Esq. Indian Wells, California For Respondents: Timm A. VerDuin, Esq. Morgan Stanley Dean Witter San Francisco, California CAS

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John Cordova, Claimant v. Mark Bernhard and A.G. Edwards & Sons, Inc., Respondents Case Number. 99-03471 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Steven M. Green, Esq. Law Offices of Steven M. Green San Diego, California For Respondents: William S. Port, Esq. A.G. Edwards & Sons, Inc. St. Louis, Missouri CASE INFORMATION