Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Jayne C. Shinko Case No. 99-05032 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc Beverly A. Fanning Hearing Location: Philadelphia, Pennsylvania REPRESENTATION OF PARTIES Claimant, Jayne C. Shinko, ("Claimant") was represented by Glenn S. Gitomer, Esq. of the law firm of McCausland, Keen & Buckman, Radnor, Pennsylvania. Respond

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE; 99-05027 Darrell E. DeVeaux, claimant vs. E*Trade Securities, respondent. ATTORNEYS: Claimant Darrell E. DeVeaux ("Claimant"), appeared Pro Se., Bobson Park, MA. For Respondent E*Trade Securities ("Respondent"), Bob Salvador, Compliance Analyst for E*Trade Securities, Palo Alto, CA. DATE FILED: 11/8/1999 CASE SUMMARY: Claimant maintained that on March 18, 199

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-05026 Debi A. Christenhusz, claimant vs. Douglas D. Crawford, and PFS Investments, Inc., respondents. ATTORNEYS: For Claimant appeared Scott W. Edwards, Esq., Reno, NV. For Respondents appeared Devin A. Donohue, Esq. of the firm, Keesal, Young & Logan, San Francisco, CA. DATE FILED: November 8, 1999 CASE SUMMARY: Claimant alleged that respondent failed to transfer money out of

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jose Luis Peressini, (Claimant) vs. Merrill Lynch, Pierce, Fenner& Smith, Inc., and Cathy Hernandez (Respondents). Case Number: Hearing Site: 99-05025 Houston, Texas 5 REPRESENTATION OF PARTIES Claimant, Jose Luis Peressini, hereinafter referred to as "Claimant": E. Link Beck, Esq., Beck & Given, El Paso, Texas. Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Edna M. Noel, Claimant vs. Salomon Smith Barney Inc., Respondent Case Number: 99-05023 Hearing Site: San Antonio, Texas REPRESENTATION OF PARTIES Claimant, Edna M. Noel, hereinafter referred to as "Claimant", was was represented by Steven Weaklley .Esq., of Duncan r . Ulman, Weakly & Bressler, Inc., San Antonio, TX. Respondent, Salomon Smith Barney Inc., hereinafter referr

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert C. Fiala, Claimant vs. Quick & Reilly, Inc., Respondent. Case Number: 99-05022 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claimant, Robert C. Fiala ("Fiala"), hereinafter referred to as "Claimant", was represented by W. Sean Kelleher, Esquire, Worthington, Ohio. Respondent, Quick & Reilly, Inc. ("Quick & Reilly"), hereinafter referred to as "Respondent",

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dorigol, S.A., (Claimant) vs. J.P. Morgan & Co. Inc., Morgan Guaranty Trust Company of New York, and John Scott Muirhead, Jr., (Respondents) Case Number: 99-05013 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Dorigol, S.A., hereinafter referred to as "Claimant": Marc A. Stadtmauer, Esq., Eckhaus & Olson, New York, NY. Respondents, J.P. Morgan & Co. I

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: ISG Capital Markets (Deutschland) Gmbh, Edward Henschel, and Edgar Seiz, (Claimants) vs. ISG Solid Capital Markets, LLC, (Respondent) Case Number: 99-05006 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, ISG Capital Markets (Deutschland) Gmbh ("ISG Capital"), Edward Henschel ("Henschel"), and Edgar Seiz ("Seiz"), hereinafter collectively referred to as "C

Stipulated Award NASD Dispute Resolution In the Matter of Arbitration Between: Joseph J. Haburjak and David W. Haburjak, Claimants, v. Linsco/Private Ledger Corp., Respondent. Case Number: 00-05533 REPRESENTATION OF PARTIES For Claimants: Gregory Bartko, Esq. Law Offices of Gregory Bartko 3475 Lenox Road, Suite 400 Atlanta, GA 30326 For Respondent: David J. Freniere, Esq. Amanda M. Candelmo, Esq. Linsco/Private Ledger Corp. 155 F

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gwen M. Mathews, Claimant vs. A.G. Edwards & Sons, Inc. and Jack Michael Afonin, Respondents. Case Number: 99-05003 Hearing Site; San Francisco, California REPRESENTATION OF PARTIES Claimant, Gwen M. Mathews, hereinafter referred to as "Claimant": Russell G. VanRozeboom, Esq., Wild, Carter & Tipton, Fresno, California Respondent, .A.G. Edwards & Sons, Inc. ("A.G. Edwards")