Award NASD Regulation, inc. In the Matter of the Arbitration Between: PaineWebber Inc., (Claimant) vs. Damon M. Lewis. (Respondent). Case Number: 99-01724 Hearing Site: Dallas. Texas REPRESENTATION OF PARTIES Claimant, PaineWebber, Inc., ("Claimant"): Greg Copeland, Esq., PaineWebber, Inc. located in Los Angeles, CA. Respondent, Damon M. Lewis ("Respondent") represented himself. CASE INFORMATION Statement of Claim filed on or about: April 8, 199

Award NASD Dispute Resolution In the Matter of the Arbitration Between: riaimantg Tsai-Hsien Lee and Chao-& Tsu Lee - 99-01721 Nfltng n f thf WMA Securities, Inc, and Shan Guo ite* Dallas, Texas NTTTPff OF Customer v. Member Firm and Associated Person Claimants Tsai-Hsien Lee and Chao-& Tsu Lee, hereinafter collectively referred to as "Claimants": Appeared pro se. Respondent WMA Securities, Inc., hereinafter referred to a

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03486 Paine Webber Incorporated, Claimant vs. Frank I Strick, Respondent. ATTORNEYS: For Claimant, Paine Webber Incorporated, ("Claimant"), appeared Romaine Gardner, Esq., Staten Island, NY. Respondent, Frank I. Strick, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: August 11, 2000 CASE SUMMARY: Claimant alleged that Respondent failed to repay a debit balanc

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Richard Ross Hyde, (Claimant) vs. Floyd Stephen Allen, Southwest Securities, Inc., SWS Financial Services (Respondents). Case Number: 99-01720 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Richard Ross Hyde ("Claimant"): Thomas G. Ferrier, Esq.: Murphy, Mahon, Keffler & Ferrier, L.L. P., Ft. Worth, Texas. Respondents, Floyd Stephen Allen, Southwest Securities, In

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Carson X H Liang, Claimant vs. Discover Brokerage Direct, Inc., Respondent. Case Number: 99-01715 Hearing Site: San Francisco, California REPRESENTATIQN OF PARTIES Claimant, Carson X H Liang ("Liang"), hereinafter referred to as "Claimant": N. David Lopez, Esq., Chao &, Lopez, San Francisco, California Respondent, Discover Brokerage Direct, Inc. ("Discover Brokerage"), hereinafter ref

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Emerald Securities, L.L.C., (Claimant) vs. Cornerstone Securities Corporation, (Respondent, Counterclaimant, and Third-Party Claimant) v. William Camilo Kauachi and Jose Kauachi (Third-Party Respondents). Case Number: Hearing Site: 99-01709 Houston, Texas REPRESENTATION OF PARTIES Claimant, Emerald Securities, L.L.C. ("Emerald"), hereinafter referred to as "Claimant"

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Elizabeth and Anthony Saitta Case No. 99-01708 Names of Respondents A.G. Edwards & Sons, Inc. Edward F. Barron REPRESENTATION OF PARTIES For Claimants: Stephen A. Baker, Esq. of Allan & Shipp, P.A., St. Petersburg, FL. For Respondents: Michael Naccarato, Esq. of A.G. Edwards & Sons, Inc., St. Louis, MO. CASE INFORMATION Statement of Claim filed on

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rafael C, Alvarado, Claimant v. David G. Sayyed, Bradley A. Levin, and Drew S. Marloe dba Independent Capital Management, Respondents Case Number: 99-01706 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Associated Persons REPRESENTATION OF PARTIES For Claimant: For Respondent David G. Sayyed: For Respondent Bradley A. Levin: For Respondent D

Award NASD Dispute Resolution, Inc. In the Matter of the Consolidated Case entitled "Becker Consolidated Cases" Consolidated Case Number 99-01705: Robert Stanley Becker and Soon Fa Wu, Claimants v. Go Trading, Inc., Service Asset Management Co. d/b/a Penson Financial, Adnan A. Mirza, Lori Sue Piken, Grace F. Schroeder, Steven A. Owsley, Adtech Financial Corporation, Steven Kane, and Jane Watkins, Respondents Hearing Site: Los Angeles, California Robert

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Equable Securities Corporation v. Robert J. Milosch & Freedom Investors Corporation Case Number: 99-1703 Hearing Site: Milwaukee, Wisconsin REPRESENTATION OF PARTIES Claimant, Equable Securities Corporation ("Equable"), hereinafter referred to as "Claimant": Michael H. Schaalman, Esq., Quarles & Brady, Milwaukee, Wisconsin. Respondent, Robert Joseph Milosch ("Milosch"): James W. Hamme