Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Antina Bedrosian v. Sigma Financial Corporation, Michael G. Zulinski, and Jerome Stanley Rydeil, Donald G. Terns and East-West Capital Corporation Case Number: 99-4513 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Claimant, Antina Bedrosian ("Bedrosian") hereinafter referred to as "Claimant": Anthony V. Trogan, Esq., West Bloomfield Hills, Michigan. Responde

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Carty &Co., Inc. Case No. 99-04510 Names of Respondents Prudential Securities, Inc. Mark M. Ihrie REPRESENTATION OF PARTIES ~& For Claimant: John J. Heflin, III, Esq. of Bourland, Heflin, Alvarez & Minor, PLC, Memphis, TN. For Respondents Prudential Securities, Inc. ("Prudential") and Mark M. Ihrie ("Ihrie"): Michael Richards, Esq. of Baker, Don

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: David H. Werle, Custodian for Blake Werle and Derek Werle,Claimant vs. E*Trade Securities, Inc., Respondent. Case Number: 99-04507 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimant, David H. Werle, Custodian for Blake Werle and Derek Werle, hereinafter referred to as "Claimant": Jeffrey M. Jones, Esq., Law Office of Jeffrey M. Jones, P.C., Pioneer Telegraph Buildi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Mike & Sharon Hovendick, Dave & Melinda Freisleben, Spencer & Joy Knapp, Sozos & Marie Papasozmenos, George & Irene Mellis, Robert & Evelyn Brown, Yvonne Kautsch. Case No. 99-04505 Name of Respondents Edwin A. Allseitz, Jr., Southwest Securities, Inc., SWS Financial Services, Sunpoint Securities, Inc.. REPRESENTATION OF PART

AWARD NASD Dispute Resolution, Inc. ^ In the Matter of the Arbitration Between Name of Claimant Nathaniel Barnhart and 99-04503 Minneapolis, Minnesota Name of Respondent Citicorp Investment Services, Inc. REPRESENTATION OF PARTIES Nathaniel Barnhart ("Claimant") was represented by Scott N. Heidepriem, Esq., Johnson, Heidepriem, Miner, Marlow & Janklow, L.L.P., Sioux Falls, South Dakota. Citicorp Investment Services, Inc. ("Respondent") w

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John Price and Beryl Price, (Claimants) vs. Roan Capital Partners Ltd. and Roan/Meyers Associates L.P., (Respondents) Case Number: 00-05500 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, John Price ("J. Price") and Beryl Price ("B. Price"), hereinafter collectively referred to as "Claimants": Morgan W. Bentley, Esq., a sole practitioner, Newark, NJ.

r Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Louis J. Smith; Louis J. Smith and Dorothy A. Smith; and Louis J. Smith MD Inc. Money Purchase Pension Plan and Trust, Claimants v. Long Securities Corporation n, Lawrence S. Jay, and Wedbush Morgan Securities, Inc., Respondents Case Number: 99-04500 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Steve A. Buchwalter, Esq. Law Offices o

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Stuart and Kerry Leaderman Case No. 99-04491 Names of Respondents Barron Chase Securities, Inc. Robert Thomas Kirk, Jr. John Nicholas Bosco Tyler Christopher Wilson REPRESENTATION OF PARTIES For Stuart and Kerry Leaderman ("Leaderman"), hereinafter collectively referred to as "Claimants": Steven D. Toskes, Esq. and Lawrence Klayman, Esq.,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:99-04489 Olde Discount Corp., claimant vs. Dennis & Catherine Phillips, respondents. ATTORNEYS: For claimant, Olde Discount Corp. appeared in-house counsel, Aaron L. Kleid, Esq., Detroit, MI Respondents Dennis & Catherine Phillips did not respond to the statement of claim. DATE FILED: October 4, 1999 CASE SUMMARY: Claimant alleged respondent fell below the minimum maintenance requi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Namfi^ofCIaimaat Michael Faik Case No. 99-04488 Name of Respondent Ameritrade, Inc. REPRESENTATION OF PARTIES Claimant Michael Falk (Talk"), hereinafter also referred to as "Claimant" appeared pro se. For Ameritrade, Inc. ("Ameritrade") hereinafter also referred to as "Respondent": James J. Vihstadt, Esq. of Ameritrade, Inc., Omaha, Nebraska. CASE INFORMATION