Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kathleen M. Rector v. Joseph Scott Hayner and Everen Securities, Inc. Case Number: 99-04365 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Kathleen M. Rector ("Rector"), hereinafter referred to as ''Claimant": Braden W. Sparks, Esq., Law Office of Braden W. Sparks, Dallas, Texas. Respondent, Everen Securities, Inc. (''Everen") hereinafter referred to as "R

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Superior Paper & Plastic and Mourice Penhasian, Claimants v. 1 st Cleveland Securities Corp., David Kauffman and John Hartman, Respondents Case Number: 99-04361 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants Superior Paper & Plastic and Mourice Penhasian: For Respondent 1 st Cleveland Securities Corporation and John Ha

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Barbara Milton (Claimant) vs. The Golden Lender Financial Group, Inc., Aron Bronstein, Tomer M. Yuzary, and Amir A. Yuzary (Respondents) Case Number: 99-04360 Hearing Site: Albuquerque, New Mexico REPRESENTATION OF PARTIES Claimant Barbara Milton ("Milton"): Richard M. Gelb, Gelb & Gelb, LLP, Boston, Massachusetts Respondent Golden Lender Financial Group, Inc. a/k/a J.P. Gibbons &

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between } Names of Claimants Charles and Michelle Levin Case No. 99-04359 Names of Respondents Josephthal & Co., Inc. Adam Kenneth Stern Timothy Andrew Craig William Robley Ebert, Jr. REPRESENTATION OF PARTIES For Charles and Michelle Levin, hereinafter collectively referred to as "Claimants": Darren C. Blum, Esq., Hollywood, FL. For Josephthal &

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Richard L. Bevins, on behalf of the Richard L. Bevins IRA and as Trustee for the Richard L. Bevins Trust FBO Richard L. Bevins Case No. 00-05483 Hearing Site: St. Louis, Missouri nf T?pgnnnrlpnfQ A.G. Edwards & Sons, Inc. and Richard O. Stocke, Jr. OF PABTTRS Claimant Richard L. Bevins, on behalf of the Richard L. Bevins IRA and as Trustee for m^Rfdiard- L. Bevi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nicholas Fusaro, Nancy Fusaro, the Nicholas Fusaro, Jr. Revocable Trust, and Nancy Fusaro as Custodian for Nicole M. Fusaro and Nicholas M. Fusaro, (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Richard F. Greene, (Respondents) Case Number: 99-04357 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants, Nicholas Fusaro, Nancy Fusaro, the Nicholas F

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Craig Shaber, Claimant v. Pacific Cortez Securities, Inc., Troy J. Flowers and James A. Revels, Respondents Case Number: 99-04356 Hearing Site: San Diego, California REPRESENTATIQNOF PARTIES For Claimant: For Respondent Pacific Cortez Securities, Inc. For Respondent Troy J. Flowers: For Respondent James A. Revels: CASE INFORMATION John J. Rice, Esq. LaF

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Arnold H. Simon, (Claimant) vs. Hambrecht & Quist LLC and Michael Rice, (Respondent) Case Number: 99-04353 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Arnold H. Simon, hereinafter referred to as "Claimant": Matthew J. Sava, Esq., Shapiro Forman & Allen LLP, New York, NY. Respondent, Hambrecht & Quist LLC ("H&Q"): Michael J. McAllister, Esq.,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Ronald Doses, (Claimant) vs. E*Trade Securities, Inc., (Respondent) Case Number: 99-04351 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Ronald Doses ("Doses"), hereinafter referred to as "Claimant", appeared pro se. Respondent, E*Trade Securities, Inc. ("E*Trade"), hereinafter referred to as "Respondent": Mark T. Drooks, Esq., Bird, Marella, Boxer & Wolpert, Los

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Herman Salomon and Gloria Salomon, (Claimants) vs. David Netkin, Rickel & Associates, Inc., Atlantic Group Securities a/k/a Rickel Securities, John C. Sabo, Arnold Ira Cohen, and J.J.B. Milliard, W.L. Lyons, Inc., (Respondents) Case Number: 99-04345 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Herman Salomon ("H. Salomon") and Gloria Salomon ("G. Salomon"),