NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04568 Robert F. Roth, claimant vs. Morgan Stanley Dean Witter, nka Dean Witter Reynolds, Inc., respondent ATTORNEYS: Claimant appeared Pro Se, Union, NJ, Respondent appeared through its in-house counsel, Douglas F. Stone, Esq., New York, NY. DATE FILED: October 8, 1999 CASE SUMMARY: Claimant maintained that he traded options in his account for a number of years. Claimant allege

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:99-04564 James J. Gallagher, claimant vs. A.G. Edwards & Sons, Inc., and Colin E. Ciupek, respondents. ATTORNEYS: Claimant appeared Pro Se, Hatboro, PA. For Respondents appeared Michael Naccarato, Esq., in-house counsel, St. Louis, MO. DATE FILED: October 18, 1999 CASE SUMMARY: Claimant alleged that respondent placed his money in stocks that were unsuitable to his investment object

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant A.G. Edwards & Sons, Inc. Case No. 99-04560 Name of Respondent Aikman Oil Corporation REPRESENTATION OF PARTIES Claimant A.G. Edwards & Sons, Inc. ("AGE") was represented by M. Jane Matoesian of A.G. Edwards & Sons, Inc., located in St. Louis, Missouri. Respondent Aikman Oil Corporation ("Aikman") was represented by J. Aikman of Aikman Oil Corpo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants David A. Neuman, individually, and as Trustee of the Margot L. Maisel Rev Tr dtd 8/15/90 and as custodian for Brandon Neuman and Julie Neuman, individually, and as custodian for Brandon Neuman Names of the Respondents Shochet Securities, Inc. and Cynthia D. Franke Case Number: 99-04558 Hearing Site: Boca Raton, Florida Nature of the

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04555 Ameritrade Inc., claimant vs. Brad Daniel Clarke, respondent. ATTORNEYS: For claimant Ameritrade Inc., appeared Eric E. Hamilton Esq., in-house counsel, Bellevue, NE. For respondent Brad Daniel Clarke, appeared Daniel R. Kirshbaum of the firm Axelrod, Smith & Kirshbaum, Houston, TX. DATE FILED: October 7, 1999 CASE SUMMARY: Claimant alleged that respondent ordered the sal

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Fordham Financial Management, Inc., (Claimant) vs. Jason I. Sidelman, (Respondent) Case Number: 00-05200 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Fordham Financial Management, Inc., hereinafter referred to as "Claimant": Barry R. Lax, Esq., Goldstein & Digioia, LLP, New York, NY. Respondent, Jason I. Sidelman, hereinafter referred to as "Respondent"

NASI> DISPUTE RESOLUTION AWARD CASE: 99-44552 Alan Kii*chenba\sm, Florence Kirsclienfc.ium, and Lisa Kirscheribaum, claimants vs. Jeffrey Jerome, Dwight Campbell, anil Noble Investment Company n/k/a Noble International Investments, Inc., respondents. ATTORNEYS: Claimants appeared through Alar* Kirscb;nbaum t sprues, FL. For Respondents Jeffrey Jerome, Dwight Campbell and NoWe Investment Company n/k/a Noble International Investments, Inc., appear

NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants John M. and Nelwyn Ross 96-04088 Name of Respondent Josephthal, Lyon & Ross, Inc. REPRESENTATION OF PARTIES For Claimants: Christopher J. Christie, Esq. of the law firm of Dughi and Hewtt, Martton, New Jersey. For Respondent Josephthal, Lyon & Ross, Inc. ("Josephthal"): John Bersin, Esq., Associate General Counsel with Jose

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Richard Deblase 96-04082 Name of Respondent Tullett & Tokyo Securities, Inc. REPRESENTATION For claimant Richard Deblase ("claimant") appeared Chaim A. Levin, Esq. of the law offices Richards & O'Neil, LLP, located in New York, New York. For respondent Tullett & Tokyo Securities, Inc. ("respondent") appeared Herman L. Goldsmith, Esq. of the law offices Proskauer

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Erbach Finance Corp. 96-04070 Name of Respondents Bear Stearns & Company Bear Stearns Securities Corp. REPRESENTATION For Claimant, Erbach Finance Corp. ("Claimant"), appeared, L. Douglas Shrader, Esq., located in Westport, Connecticut. For Respondents, Bear Stearns & Company {"Bear Stearns") and