Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant M. Tariq Ansari Case No. 99-02049 Names of Respondents Jeff Baron M. All Khan Klein, Maus and Shire, Inc. Naseer Husain McKyle Clyburn REPRESENTATION OF PARTIES Claimant M, Tariq Ansari ("Ansari"), hereinafter referred to as "Claimant", appeared pro se. Respondent Jeff Baron ("Baron") did not appear. Respondent Mohammad Ali Khan ("Khan")

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Marcos Labandeira, (Claimant) vs. GFI Securities, Inc., (Respondent) Case Number: 99-02048 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Marcos Labandeira, hereinafter referred to as "Claimant": Stephen E. Tisman, Esq., Shiff & Tisman, New York, NY. Respondent GFI Securities, Inc., hereinafter referred to as "Respondent": Lauri F. Rasnick, Esq., Epste

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Randolph H. Guthrie III, Claimant v. Scon William Powers. Gregg Joseph Powers, William Kearney Powers Jr.. American Frontcer Financial Corporation f/k/a RAF Financial Corporation. Multisource Services. Inc.. Investor Associates. Inc.. Robert Herman Trapp. Troy Gerard Taggart, Jr.. Robert Harold Taggart. Jr., Eric Gamer Siroud, Charles Derby Struub. John Edward Shustcr, Jr., Evan M

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Nicholas S. Cocucci and Moi^u Cocucci (Claimants) vs. Merrill Lynch, Pierce, Former & Smith, Inc., (Respondent) Case Number: 99-02038 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Nicholas S. Cocucci and Marylou Cocucci, hereinafter collectively referred to as "Claimants 11 , appeared pro se. Respondent, Merrill Lynch, Pierce, Fenner & Smith

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the riairflpnts Casft Number: 00-03511 Scott H. Korn j York Paper Company Name of the Respflrtfipnts Hearing Sire: Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Robert P. Moran, ft. Off PARTTF.S Claimants, Scott H. Korn ("Korn") and York Paper Company ("York"), hereinafter collectively referred to as "Claimants": Michael G. Trachtman, Esq., P

Award NASD Dispute Resolution, Inc. - In the Matter of the Arbitration Between Name of Claimant Legg Mason Wood Walker, Inc. vs. Name of Respondent Todd M. Schoenberger Case Number 99-02033 (Master case consolidated with case number 99-02083) In the Matter of the Arbitration Between Name of Claimant Todd M, Schoenberger vs. Name of Respondent Legg Mason Wood Walker, Inc. Case Number 99-02083 REPRESENTATION OF PART

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Helen M. Erpelding and Gerald P. Erpelding v. Steve P. Walsh and VSR Financial Services, Inc. Case Number: 99-2031 Hearing Site: Omaha, Nebraska REPRESENTATION OF PARTIES Claimants, Helen M. Erpelding ("Helen") and Gerald P. Erpelding ("Gerald"), hereinafter collectively referred to as "Claimants": pro se. Respondents, Steve P. Walsh ("Walsh") and VSR Financial Services, Inc. ("VS

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: JEFFERY MAKIMAA, CUSTODIAN FOR KATELYN M. MAKIMAA, Claimant and BANG ONE SECURITIES CORPORATION and CRAIG BIVINS, Respondents NASD Case No. 99-02026 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, Jeffery Makimaa, Custodian For Katelyn M. Makimaa, ("Makimaa") and Party Name ("Name"), hereinafter referred to as "Claimant": Steven F. Spender,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Robert R. Cline Case No, 99-02015 Names of Respondents Bobby James Rick "Riccardo" White Brownstone Capital Corp. Joseph C. Chappelle Gregory Cooper REPRESENTATION OF PARTIES For Robert R. Cline, hereinafter referred to as "Claimant": Patrick Baldwin, Esq. of the law offices of Patrick Baldwin, Menlo Park, California. Bobby James ("J

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Roberta D. Ryncarz, Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. Case Number: 99-02013 Hearing Site: Cleveland. Ohio REPRESENTATION OF PARTIES Claimant, Roberta D. Ryncarz, "Ryncarz", hereinafter referred to as "Claimant", represented herself. Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc., "Merrill Lynch", hereinafter referred to as "Responde