Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Davis Selected Advisers, L.P., Davis Distributors, LLC, and Venture Advisers, LP (Claimants/CounterRespondents) vs. Raymond O. Padilla (Respondent/CounterClaimant) Case Number: 99-05091 Hearing Site: Santa Fe, New Mexico REPRESENTATION OF PARTIES Claimants Davis Selected Advisers, L.P., Davis Distributors, LLC, and Venture Advisers, hereinafter collectively referre

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dean Witter Reynolds, Inc., Claimant vs. Brent Lydell Moore, Respondent. Case Number: 99-05088 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimant, Dean Witter Reynolds, Inc., (hereinafter referred to as "Claimant"): Kenneth C. Mennemeier, Esq., Mennemeier, Classman & Stroud, LLP, 980 9 th Street, Suite 1700, Sacramento, CA 95814. Respondent, Brent L

Award NASD Dispute Resolution. Inc. lo the Matter of the Arbitration Between: Tucker Anthony Incorporated. (Claimant) vs. Joseph J. Atiotta (Respondent) Case Number: 99-05084 Hearing Sire: New York. New York REPRESENTATION OF PARTIES Claimant. Tucker Anthony Incorporated, hereinafter referred to as "Claimant 1 .: Karl L. Marquardt, Esq., Dressier. Amery & Ross. P.C.. New York, NY, Respondent. Joseph Alioita, hereinafter referred to as "Responden

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-05082 Lucien L. Bass, III, claimant vs. Dean Witter Reynolds Inc., d/b/a Morgan Stanley Dean Witter, respondent. ATTORNEYS: For Claimant Lucien L. Bass, III ("Claimant"), Reginald F. Combs, Esq., Blaco Tackabery Combs & Matamoros, P.A., Winston-Salem, NC. For Respondent Dean Witter Reynolds Inc., d/b/a Morgan Stanley Dean Witter ("Respondent"), Paul G. Tho

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC, CASE: 99-05076 Barbara J. Newby & Richard D. Newby, claimants vs. David Swanson and Stephanie Campbell, respondents. ATTORNEYS: Claimants, Barbara J. Newby & Richard D. Newby, appeared Pro Se, College Place, WA. Respondent, David Swanson, appeared Pro Se, West Linn, OR. Respondent, Stephanie Campbell, appeared Pro Se, West Linn, OR. DATE FILED: November 10, 1999 CASE SUMMARY: Claimants

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ira Cohen, (Claimant) vs. Emmett A. Larkin Co. Inc., Royal Hutton Securities Corp., and Alfred Caceres, (Respondents) Case Number: 99-05074 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, Ira Cohen, hereinafter referred to as "Claimant": Gavin J. Tighe, Esq., Gardiner, Roberts, Toronto, Ontario, Canada. Respondent, Emmett A. Larkin Co. Inc. ("Larkin")".

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Case No. 00-05535 Name of Respondent Prudential Securities, Inc. Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES Juan Eduardo Morles Yeas ("Yeas"), hereinafter also referred to as "Claimant", appeared pro se. For Prudential Securities^ Inc. ("Prudential"), hereinafter also referred to as "Respondent": Donna L. Levy, Esq. of Boose Cas

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Glenn Nortman, (Claimant) vs. Worthington Capital Group, Inc., Morgan Grant Capital Corp, Howard Zelin, and Russell Ehrens, (Respondents) Case Number: 99-05072 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Glenn Nortman, hereinafter referred to as "Claimant": Louis J. Schwartzberg, Esq., Moses & Singer LLP, New York, NY. Previously represented by: He

Award NASD Dispute Resolution. Inc. In the Matter of the Arbitration Between: James and Mina Faulkner, Ciaimants vs. Robert H. Taggart, Jr., Respondent. Case Number: 99-05065 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES Claimants, James and Mina Faulkner, hereinafter referred to as "Claimants": James Faulkner, Kingston, Washington Respondent, Robert H. Taggart, Jr., hereinafter referred to as "Respondent": Martin M. Berliner. Esq.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants James Del Valle and Mary Del Valle Revocable Trust „ James and Mary Del Valle Helen D. Hover : Helen D. Hover as Trustee of the Ernest and Helen Hover Trust u Boris Shapiro Case No. 99-05063 Names of Respondents Sigma Financial Corporation Charlie Jean Littlejohn, Jr. Leonard J. Klucar, Jr. REPRESENTATION OF PARTIES For Claimants J