Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Helmut and Alma Hohenleitner, (Claimants) vs. Cambridge Capital, LLC and Vincent Ribortone, (Respondents) Case Number: 99-04683 Hearing Site: New York, New York Claimants, Helmut and Alma Hohenleitner, hereinafter,collectively referred to as "Claimants": Martin L. Feinberg, Esq., Attorney At Law, New York, NY. Respondent, Cambridge Capital, LLC ("Cambridge"), did not appear at

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Raymond and Yolene Louis, (Claimants) vs. Dalton Kent Securities Group, Inc., Levant Miguel Bishop, John M. Vandy, Risa Steinberg, and Wexford Clearing Services Corp., (Respondents) Case Number: 99-04678 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Raymond and Yolene Louis, hereinafter collectively referred to as "Claimants", appeared pro se. Respo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jay A. Johnston (Claimant) vs. Deutsche Bank Securities, Inc. (Respondent) Case Number: 99-04677 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Jay A. Johnston, hereinafter referred to as "Claimant": Sean F. O'Shea, Esq., a sole practitioner, New York, NY. Previously represented by: Gerald B. Lefcourt, Esq., Gerald B. Lefcourt, P.C., New York, NY. Resp

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between p nf Plamant Thomas H. Buske Case No. 99-04669 Name Tradeway Securities Group, Inc. Hearing Site! Milwaukee, Wisconsin OF Claimant Thomas H. Buske ("Buske") was represented by Paul N. Young, CEO, of Securities Arbitration Group, Inc., located in Los Angeles, California. Respondent Tradeway Securities Group, Inc. ('Tradeway") was represented by Carl F. Schoeppl,

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lucy Cirocco, Claimant, vs. Donald J. Whitton, Seger Financial, Inc. (a/k/a Martha R. Seger Associates, Inc.), Martha R. Seger Financial Group, Julie A. Baetz, Damian S. Kassab, Susan R. Sofia, Dr. Martha R. Seger, Vincent Brennan and Jon V. Rogers, Respondent(s). Case Number: 99-04668 Hearing Site: N/A REPRESENTATION OF PARTIES Claimant, Lucy Cirocc

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Peter Beukema and Carol Beukema and 00-05210 Southfield, Michigan Preston Langley Asset Management, Inc. REPRESENTATION OF PARTIES Peter Beukema and Carol Beukema ("Claimant") were represented by Thomas M. Wardrop, Esq., Wardrop & Wardrop, P.C., Grand Rapids, Michigan. Preston Langley Asset Management, Inc. ("Respondent") did not appear. CASE INFORMATION The Sta

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-04667 Steven R. Clayton and Tina L. Clayton, claimants vs. A.G. Edwards & Sons, and Hugh Williams Cooper, Jr., respondents. ATTORNEYS: Claimants Steven R. Clayton and Tina L. Clayton (collectively "Claimants"), appeared Pro Se., Columbus AFB, MS. For Respondents A.G. Edwards & Sons, and Hugh Williams Cooper, Jr. (collectively "Respondents"), St. Louis, MO.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04664 Freda Hanover, claimant vs. Waterhouse Securities, Inc. n/k/a TD Waterhouse Investor Services, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se., Churchville, PA. For Respondent appeared in-house counsel Janis Campanelia, Esq,, New York, NY. DATE FILED: October 15, 1999 CASE SUMMARY: Claimant alleged that respondent failed to provide adequate scnitmv with respect to

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04663 Lillian Higgins, claimant vs. Capital International Securities Group, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se., Lakeland, FL. Respondent appeared through its President, John Zelaya, Miami, FL. DATE FILED: October 15, 1999 CASE SUMMARY: Claimant alleged respondent made unauthorized transactions and excessive trades were executed on her account. Claimant further a

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of C|frjj[nnt Herbert Allen Case No. 99-04662 Name of JW Genesis Securities, Inc. REPRESENTATION Herbert Allen ("Allen"), hereinafter also referred to as "Claimant", appeared pro $g. For J, W Genesis Securities. Inc.. ("JW Genesis"), hereinafter also referred to as "Respondent" Gregory Tendrieh, £jq. of JW Genesis Securities, Inc., Boca Raton, Florida. CASE