Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Chris Dishman and Karen Dishman, Claimants Vs. First Montauk Securities Corp. and Dwight S. Jones, Respondents. Case Number: 99-04543 Hearing Site: Houston, Texas. REPRESENTATION OF PARTIES Neil S. Baritz, Esq. of Dreier & Baritz, Boca Raton, Florida, represented Claimants Chris and Karen Dishman ("Claimants"). Roni J. Hardy, Esq. of Santa Monica, Californi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Cal-Tex, Claimant v. Hanmi Securities, Inc. and Sung Soo Yan, Respondents Hanmi Securities, Inc., and Sung Soo Yan, Counter-Claimants v. Cal-Tex, Counter-Respondent Case Number: 99-04532 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: For Respondents/Counter-Claimants: Marc I. Zussman, Esq. Law Offices of Marc I. Zus

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Shirley L. Drost, as Trustee of the Shirley L. Drost, IRA and as Trustee of the Drost Living Trust Case No. 99-04530 Name of Respondents Dain Rauscher Incorporated, f/k/a Dain Bosworth, Inc.; and Michael Lee Schrank REPRESENTATION OF PARTIES Claimant Shirley L. Drost, as Trustee of the Shirley L. Drost, IRA and as Trustee of the Drost Li

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Preston Langley Asset Management, Inc., Claimant v. Edick G. Shahnazarian, Respondent Case Number: 99-04523 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: John E. MacDonald, Esq. Stark & Stark Princeton, New Jersey For Respondent: Edick G. Shahnazarian In Pro Per Glendale, California CASE INFORMATION Statement of Claim filed

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Dennis Schuetzle Trustee, Dennis Schuetzle Trust U/A Dtd 06/27/1990, by Dennis Schuetzle, Claimant and Counter Respondent v. 00-05507 Troy, Michigan Merrill Lynch Pierce Fenner & Smith, Inc. Edward A. Sui, Respondents, Counter Claimants, and Third Party Claimants v. Judith Schuetzle, Third Party Respondent REPRESENTATION OF PARTIES Dennis Sch

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mychal S. Lahey, (Claimant) vs. Ameritrade, Inc., (Respondent) Case Number: 00-00548 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Mychal S. Lahey: Represented himself, pro se. Ameritrade, Inc.: James J. Vihstadt, Esq., Ameritrade, Inc., Bellevue, Nebraska. CASE INFORMATION Statement of Claim filed on or about: February 8, 2000. Claimant signed the

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Soheila Najafzadeh, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Nicholas A. Caruso, (Respondents) Case Number: 99-04522 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Soheila Najafzadeh, hereinafter referred to as "Claimant", appeared pro se. Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill") and Nicholas A. Carus

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04519 Michael Lepie and Sara R. Lepie, claimants vs. Jonathan Price, and Michael Mahoney, respondents. ATTORNEYS: Claimants Michael Lepie and Sara Lepie appeared, Pro Se, Waban, MA For respondents Jonathan Price, and Michael Mahoney, appeared Todd G'Comier, Esq., in- house counsel for Commonwealth Equity Services, Inc, s Washington, DC CASE SUMMARY: Claimants alleged that r

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David Goldberg, Claimant v. Bethany Financial Advisory, Inc. and David Cook, Respondents Case Number: 99-04518 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Timothy N. Will, Esq. Albeit & Will, LLP Torrance, California For Respondents: Steve Wasserman, Esq. Korman, Jackson & Krantz, PLL Cleveland, Ohio CASE INFORMATION Statem

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: OLDE Discount Corporation n/k/a H&R Block Financial Advisors, Inc. vs. Fred D. Veselsky Case Number: 99-4517 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Claimant, OLDE Discount Corporation n/k/a H&R Block Financial Advisors, Inc. ("OLDE"), hereinafter referred to as "Claimant": Michael P. Knittel, Esq., H&R Block Financial Advisors, Inc., Detroit, Mich