Final Order NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith Inc., (Claimant) vs. Milton Budoff, (Respondent) Case Number: 99-01904 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Merrill Lynch, Pierce, Fenner & Smith Inc., hereinafter referred to as "Claimant": Bryan G. Killian, Esq., Morgan, Brown & Joy, LLP, Boston, MA (Mr. Killian was with the law firm of Sherin and Lodge

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Vincenzo Mure, (Claimant) vs. Continental Broker-Dealer Corp., Gregory Hasho, Gaspare Bongiorno, Preston Langley Asset Management, Inc., and Alan M, Berkun, (Respondents) Case Number: 99-01901 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Vincenzo Mure, hereinafter referred to as "Claimant": Howard M. Rosenfield, Esq., a sole practitioner, Avon, CT.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant JohnH. Lotz, Sr. Case No, 99-01897 Names of Respondents Barry Wheeler Wheeler Securities, Inc. Alex Rhoads REPRESENTATION OF PARTIES For John H, Lotz, Sr. ("Lotz"), hereinafter referred to as "Claimant": Pat Huddleston, II, Esq. and Teresa Harris Atkins, Esq. of the law firm of Dawson & Huddleston, Marietta, Georgia. For Respondents Barry Wheeler ("

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Charles Schwab & Co., Inc., (Claimant) vs. David O'Brien and Kathleen Murphy, (RespondentQ). Case Number: 99-01896 REPRESENTATION OF PARTIES Claimant, Charles Schwab & Co., Inc., hereinafter referred to as "Claimant": Richard A. Karoly, Esq., Charles Schwab & Co., Inc., San Francisco, California. Respondents, David O'Brien ("O'Brien") and Kathleen Murphy ("Murphy"), hereinafte

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE; 99-01892 Charles Schwab & Co., Inc., claimant vs. Sevtap Oge, respondent. ATTORNEYS: For Claimant Charles Schwab & Co., Inc. ("Claimant"), Diane C. Fischer, Esq., Gomberg Kane & Fischer, Ltd., Chicago, Illinois. Respondent Sevtap Oge ("Respondent"), did not respond to the Statement of Claim. DATE FILED: 4/23/1999 CASE SUMMARY: Claimant alleged that on May 14,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants John D. and Melanie A. Moore, JT. Ten. Karen L. Moore, IRA vs. Case No. 99-01890 Name of Respondent John F. Murphy, Jr. REPRESENTATION OF PARTIES Claimants, John D. and Melanie A. Moore, Joint Tenants and Karen L. Moore IRA, hereinafter collectively referred to as "Claimants": Matthew J. Turtle, Esq., Perkins, Smith & Cohen, Boston, Massachuset

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Lowell and Shoshana Bell by POA Mark Bell (Claimants) vs. J.B. Oxford & Company (Respondent) Case Number: 99-01878 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Lowell and Shoshana Bell by POA Mark Bell, hereinafter collectively referred to as "Claimants", appeared pro se. Respondent, J.B. Oxford & Company, hereinafter referred to as "Respondent": Cynthia M

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: ]Miipijv»f 00-03498 Paul Z. Brochstein nf thp; Rfrspn^HpTrt Hp^fj-pig Si*f ' Houston, Texas PaineWebber, Inc., David A. Solomon and Andrew B. Linbeck fW Claimant, Paul Z. Brochstein, hereinafter referred to as "Claimant": William Shepherd, Esq., of Shepherd, Smith & Bebel, Houston Texas. Respondents, PaineWebber, Inc., ("PaineWebber") David L. Solomon ("Solomo

Award NASD Regulation, Inc In the Matter of the Arbitration Between Name of Claimant William H. Temme Case No. 99-01875 Names of Respondents Everen Securer Inc. H. Brett Tuttr REPRESENTATIONJQF PARTIES Claimant William H. Temme (hereinafter "Claimant") appeared pro se. For Respondents Everen Securities, Inc. ("Everen") and H. Brett Tuttrup ("Tuttrup"), (hereinafter collectively referred to as "Respondents"): Don Andrews, Esq., Everen Sec

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mohsen Eshtehardi and Maverick Investments, Inc., Claimants vs. Providential Securities, Inc., Southwest Securities, Inc., Henry Fahman, Theodore Fahman, Timothy Fahman, Myan Thi Doan, and Tina T. Phan, Respondents Case Number: 99-01874 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants Mohsen Eshtehardi and & Maverick Investments, Inc. F