Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Suntrust Bank Nashville, N.A., Suntrust Securities, Inc. (Claimants) vs. PaineWebber, Inc., Jeffrey Scott Goodman and Stanley Michael Shelley (Respondents). Case Number: 99-03211 Hearing Site: Nashville, TN REPRESENTATION OF PARTIES Claimants, Suntrust Bank Nashville, N.A. ("Suntrust Bank") and Suntrust Securities, Inc. ("Suntrust Securities"), hereinafter collectively referred to as

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Edna Anne Abeln De Vos, John Francis De Vos, and Edna Anne Abeln DeVos Family Trust, Claimants v. Mission Capital Investment Group, Inc., Richard A. Elliot, OLDE Discount Corp., Thomas Lynn Kelly, Jason Gronski, Ray Colglazier, Miller, Johnson & Kuehn, Inc., Shawn P. Crawford, and Matthew R. Jennings, Respondents Miller, Johnson & Kuehn, Inc., Cross-Claimant v. Mission

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02461 Jack Braumiller, Jr., claimant vs. American Century Brokerage, respondent. ATTORNEYS: Claimant, Jack Braumiller, Jr., appeared Pro Se., Salem, SC. For Respondent, American Century Brokerage, ("Respondent"), Mark H. Nicholas, Esq., of American Century Brokerage, Inc., Mountain, CA. DATE FILED: May 27, 1999 CASE SUMMARY: Claimant alleged that Responden

AWARD NASD Regulation* Inc. In the Matter of the Arbitration Between Name of Claimant Fred E. White, Jr. 98-00753 Duke & Co., Inc. Philip Teseo Robert A. Bartlett REPRESENTATION For Claimant: Philip E. Downer, m, Esq. of the law firm of Downer, Kyle & Wilhite, L.L.C., Shreveport, Louisiana. Respondent Duke & Co., Inc. ("Duke") did not appear. For Respondent Philip Teseo ("teseo"): Adam Silverstein, P.C., New York, New York. Respo

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02895 Gene Piscitelli, claimant vs. Vanguard Brokerage Services, a division of Vanguard Marketing Corporation, respondent. ATTORNEYS: Claimant Gene Piscitelli ("Claimant") appeared Pro Se, Lindenwold, NJ. For Respondent Vanguard Brokerage Services, a division of Vanguard Marketing Corp., ("Respondent") appeared in-house counsel Pauline C. Scalvino, Esq., Valle

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Barbara K. Lynch and 98-00731 Name of Respondents * Meyers Pollock Robbins, Inc., Michael Ploshnick, Harry Scott Barbers, Bruce Harvey Barbers REPRESENTATION OF PARTIES Barbara K. Lynch ("Claimant") appeared on her own behalf. Meyers Pollock Robbins, Inc. ("MPR") was not represented and failed to appear in this arbitration. Michael Ploshnick

STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS _ / In the Matter of the Arbitration Between: PAINEWEBBER INCORPORATED, NASD Claimant, CASE NO. 98-00647 and ROBERT FRONJIAN, Respondent. REPRESENTATION OF PARTIES For Claimant Paine Webber Incorporated appeared Lisa Catalano Tillem of Paine Webber Incorporated in Weehawken, New Jersey. Respondent Robert Fronjian appeared pro se. CASE INFORMATION The Statement of Cla

NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. AWARD CASE: 98-00623 F. Allen Lewis, Claimant vs. Sauceda & Granville Securities, Inc., Respondent ATTORNEYS; For Claimant: Joshua Magidson, Esq. of MacFarlane, Ferguson & McMullen, P. A., Clearwater, Florida. For Respondent: Cynthia King Sadick, Esq. of The Law Office of Cynthia Sadick, P.A., Boulder, Colorado. DATE FILED: February 18,1998. CASE SUMMARY; Claimant alleged that a representative

AWARD Iflfl? fflP- Office °f Dispute Resolution In the Matter of the Arbitration Between Winnie Wing-Lai Ng and Shu Yau Yeung, Joint Tenants, Claimants, and American Asian Investment, Incorporated, Respondent. Case No. 98-00379 (Consolidated with 98-01832 below) Wai-YeeLau, Claimant, and American Asian Investment, Incorporated, Walter Chen and Pao-Shu Ho, Respondents. Case No. 98-01832 (Consolidated with C

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant William Riccard 98-00336 Name of Respondent Prudential Insurance Company of America REPRESENTATION For Claimant: H. Robert Dowd, Esq. of the Law Offices of H. Robert Dowd, Altamonte Springs, Florida. For Respondent Prudential Insurance Company of America ("Respondent"): Amy L. Bess, Esq., Sonnenschein Nath & Rosenthal, Washington, D.C. CASE INFORMAT