Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Henry Miyatake, Claimant v. Centex Securities, Inc. and Terry Lewis, Respondents Case Number: 99-04833 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimant: Peter Shenas Law Offices of Peter Shenas San Diego, California For Respondent Centex Securities, Inc: Steven H. McAvoy Centex Securities, Inc. La Jolla, California For Respondent Terry L

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Allison Venture Partners, Inc., .Claimant v. C1BC World Markets Corporation (fka Oppenheiraer & Company, foe.) and Frank J. Skelly DDL Respondents Third-Party Claim: CIBC World Markets Corporation (fka Oppenheirner & Company, Inc.), Third-Party Claimant v. Walsh Manning Securities LLC, Third-Party Respondent Case Number: 99-04832 Hearing Site: Los Angeles, California REPRE

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04826 William S. Snyder and Joan H. Snyder, claimants vs. Golden Lender Financial Inc. n/k/a J.B.Gibbons and Co., respondent. ATTORNEYS: Claimants appeared Pro Se, Richfield, MN. Respondent did not provide an Answer to the Statement of Claim. DATE FILED: October 26, 1999 CASE SUMMARY: Claimants alleged that the Respondent had sold 1000 shares of Lsi Log and invested the proceed

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Virginia S. Wheeler TTEE FBO The Survivors Trust U/The Robert & Virginia S. Wheeler Rev Tr, Virginia Wheeler TTEE Wheeler Leasing Co Pension Plan UAD 07/11/94, Virginia S. Wheeler TTEE The Ornelas Childrens Trust UAD 05/09/96, Virginia S. Wheeler SSB IRA Rollover Cust. and 00-05518 Phoenix, Arizona Name of Respondents Citigroup Global Markets, Inc. f/

NASD DISPUTE RESOLLTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04824 Christopher Lim, claimant vs. Pearl Tang, respondent ATTORNEYS: For Claimant appeared Brett A. Alcala, Esq. of the firm Birabaum, Umeda & Alcala LLP, Redwood City, CA. For Respondents appeared William C. Dresser, Esq., San Jose. CA DATE FILED: October 26. 1999 CASE SUMMARY: Claimant alleged that respondent requested the purchase of 500 shares of TFSM and provided two chec

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Pamela L. Bullard v. Name of Respondent Merrill Lynch, Pierce, Fenner & S^riith, Inc. and Richard Harrell Garner ' NASD Arbitration No. 99-04820 Hearing Location: Dallas, Texas NATURE OF THE DISPUTE Public Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimant Pamela L. Bullard was represented by Patrick La

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Kimberly Sabaugh and 99-04819 Detroit, Michigan Merrill Lynch Pierce Fenner & Smith, Inc, UBS PaineWebber, Inc., and Steven Haag Riga REPRESENTATION OF PARTIES Kimberly Sabaugh ("Claimant") was represented by William S. Bonnheim, Esq., Anderholt, Bonnheim & Casden LLP, Indian Wells, California. Claimant was formerly represented by Steven Snyder, Camp Meeker, Californi

STIPULATEDAWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Mary Kangas and 99-04808 Detroit, Michigan Vestax Securities Corporation, and Timothy L. Ford REPRESENTATION OF PARTIES Mary Kangas ("Claimant") was represented by Anthony V. Trogan, Esq., West Bloomfield, Michigan. Vestax Securities Corporation ("Vestax") was represented by Melvin G. Moseley, Jr., Esq., Warner, Norcross & Judd, LLP., Grand Rapids, Mic

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants David E. Graham, Jr. Elizabeth Graham Case No. 99-04805 Names of Respondents Coleman & Company Securities, Inc. Andrew I. Fernholz Dalton Kent Securities Group, Inc. REPRESENTATION OF PARTIES For David E. Graham, Jr. and Elizabeth Graham, hereinafter collectively referred to as "Claimants": Roger W. Van Deusen, Esq., Chattman, Gaines & Ste

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Art and Beatrice Zaras, Art Zaras IRA, and Beatrice Zaras IRA, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Jeffrey Lavner, and Christopher Dyrek, Respondents Case Number: 99-04802 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Matthew R. Rutherford, Esq. Law Offices of Matthew R. Rutherford San Diego, California For Respo