AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Siegbert Allespach, Renate Allespach, and Rosemarie B. Keidel, and 98-00342 Name of Respondents John Hancock Distributors, Inc., John Hancock Mutual Life Insurance Company and WMA Securities, Inc. REPRESENTATION OF PARTIES Siegbert Allespach, Renate Allespach, and Rosemarie B. Keidel ("Claimants") were represented by Kalju Nekvasil, Esq. and Stephe

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-00341 Charles Schwab & Co v |nc., claimant vs. Hugh J. McAllister, HI, respondent. ATTORNEYS: For Claimant appeared Philip A. McLeod, of the firm, Keesal, Young & Logan, San Francisco, CA. Respondent did not respond to the Statement of Claim. DATE FIT .ED: January 28, 1998. CASE SUMMARY: Claimant alleged that respondent failed to pay the debit bala

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Dalager Engineering Company and Dalager Investments, Inc. and 98-00338 Omaha, Nebraska Names of Respondents Hanifen, Imhofflnc. n/k/a Hanifen, Imhoff Clearing Corp. Douglas William Klares Shane Tyrone Terras Frank John Casillo Angelo John Bosco Scott Hudson Follett Joseph J. Tuozzo Stephen Craig Palumbo Mark Arthur Hanna Bria

\ Award NASD Dispute Resolution In the Matter of the Arbitration Between: MK & MK Corporation, (Claimant) vs. KSH Investment Group, Inc., Paul Dorfman, and Harvey Kohn, (Respondents) Case Number: 00-05434 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, MK & MK Corporation, hereinafter referred to as "Claimant": Jenice L. Malecki, Esq., The Law Office of Jenice L. Malecki, New York, NY. Respondents, KSH Investment Group, Inc.

'OCT. 10.1998 1£: 41PM INflSD REGULflTION FL ^ ? i NASD REGULATION, INC. AWARD ' j i NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between C *" r " Name of Claimant i William Michael Malausky Case No. 98-00333 Regions Investment Co, Inc. Eric James Warnfct Burton Arthur Linthicum Barbara Gilbert Rand H. Hinds, Jr. R, Scott Seeley Regions Bank REPRESENTATION The Cl

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Tri-Form Construction, Inc., (Claimant) vs. European Community Capital Ltd., Patrick O'Connor, Tara Casey, Vincent Albanese. and Gregory Small, (Respondents) Case Number: 98-00330 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Tri-Form Construction, Inc., hereinafter referred to as "Claimant": Daniel E. Somers, Esq.. Clemente, Dickson & Mueller, P.A., Morristown. NJ.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 98-00329 / Edmund Cotta, claimant vs. Phillip B. Berg, R. Lance Hicks and Finance 500, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se. - Huntington Beach, CA. For Respondents appeared Jon McClintock - Irvine, CA. DATE FILED: 1/27/98 CASE SUMMARY: Claimant alleged overcharge of commissions and breach of written and oral contracts. Claim Dat

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant--' Norman F. Busse and 98-00322 Name of Respondent Dreyfus Investment Services REPRESENTATION OF PARTIES Norman F. Busse ("Claimant") appeared on his own behalf Dreyfus Investment Services ("Respondent") was represented by Jerry Coughlin of Dreyfus Investment Services Corporation, Pittsburgh, Pennsylvania. CASE INFORMATION Claimant filed the Stateme

JfiN.21.1999 U'lSflM AWARD : " N ° < 553 P ' 19 NASD Regulation, Inc. la the Matter of the Arbitration Between f Bad F. Hill, Jr. 98-00320.. Names Legg Mason Wood Walter, Inc. Howard Weil LaBoutae Fdednchs* Inc. REPRESENTATION For Claimant: L. Jerome Stanley, P.C., Baton Rouge, Louisiana. Fox Respondents Legg Mason Wood Walker, Inc. ("Legg Mason") lad Howard Weil LaBouisse Friedrichs, Inc. ("Howaid Weil"): Thom

flPR.14.1999 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Evelyn J. Fetcho 98-00317 Name of Respondent Liberty Securities Corporation REPRESENTATION For Claimant Evelyn J, Fetcho ("Claimant"); Kalju Nekvasil, Esq. and Stephen Krosschell, Esq. of Goodman & Nekvasil, P.A., Clearwater, Florida, For Respondent Liberty Securities Corporation ("Respondent"): LynnetteE, McGuinness, Esq. of Buchanan I