Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Howard E. Tolley and Margaret E. Tolley Case No. 99-01679 Names of Respondents Royal Palm Investments, Ltd. Robert E. Mitchell Paul S. Tahan Roland I. Greenspan REPRESENTATION OF PARTIES For Howard E. Tolley and Margaret E. Tolley, hereinafter referred to as "Claimants": Randy Scott Zelin, Esq. of the law firm of Blodnick, Gordon, Blodnick & Zelin

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01674 Rickerd Family Trust, claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., and James Beatty, respondents. ATTORNEYS: Claimant Rickerd Family Trust through its trustee, appeared Pro Se, Randle, WA. For Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., and James Beatty, appeared in-house counsel Michael E. Chasen, Esq., New York, NY. DATE F

Amended Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Taylor King, Individually and as Executor of the Estate of Mary Lou King Case No. 99-01673 Names of Respondents Whale Securities Co., L.P. William G. Walters Joseph E. Haick Donald J. O'Connor George P. Bisnoff REPRESENTATION OF PARTIES For Claimant Taylor King, Individually and as Executor of the Estate of Mary Lou King (the "decede

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Taylor King, Individually and as Executor of the Estate of Mary Lou King Case No. 99-01673 Names of Respondents Whale Securities Co., L.P William G. Walters Joseph E. Haick Donald J. O'Connor George P. Bisnoff REPRESENTATION OF PARTIES For Claimant Taylor King, Individually and as Executor of the Estate of Mary Lou King (the "decedent"), her

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jason H. Blum (Claimant) v. Bear Stearns & Co., Inc., Steven M. Dantus, and Steven Sheresky (Respondents) Case Number: 00-03484 Hearing Site: New York, New York f Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Jason H. Blum, hereinafter referred to as "Claimant": Jeffrey Zimmerman, Esq., Liddle & Robinson, New Yo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Raymond J. Spasiano, (Claimant) vs. 1717 Capital Management Company, (Respondent) Case Number: 00-00357 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, Raymond J. Spasiano, hereinafter referred to as "Claimant": Donald G. McGrath, Esq., Falk & Siemer, LLP, Buffalo, NY. Respondent, 1717 Capital Management Company, hereinafter referred to as "Respondent":

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Sacate Pellet Mills, Inc. and 99-01672 Scottsdale, Arizona Name of Respondents Capital West Investment Group,- Inc. Lawrence L. Kohler REPRESENTATION OF PARTIES Sacate Pellet Mills, Inc. ("Claimant") was represented by Robert D. Mitchell, Esq., Mitchell Law Offices, Phoenix, Arizona. Capital West Investment Group, Inc. ("Respondent Capital West") an

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC CASE: 99-01664 Ronald G. Bourgeois, claimant vs. Charles Schwab & Company, Inc., respondent. ATTORNEYS: Claimant Ronald G. Bourgeois appeared Pro Se, Santa Fe, NM. For Respondent Charles Schwab & Company, Inc. appeared in-house counsel Sean B. Meehan, Esq., San Francisco, CA. DATE FILED: 04/09/99 CASE SUMMARY: Claimant alleged on January 13, 1999 he placed an order

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01662 Marvin H. Zelkin, claimant vs. American Investment Services, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se., Chicago, IL. For Respondent appeared Thomas D. Birge, Esq. of the firm Birge & Mayers, P.C., Denver, CO. DATE FILED: 04/09/99 CASE SUMMARY: Claimant alleged that Respondent breached their employment contract. Claimant maintained th

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Raoul A. Lim, (Claimant) vs. Saratoga 21st Ltd. d/b/a Purshe Kaplan Sterling Investments, John Peter Purcell, Peter John Sheehan, Peter Lorenzo Gill, Sheehan & Purcell Asset Management, Inc., Sheehan & Purcell Securities, Inc., and Saratoga Holding Company, LLC, (Respondents) Case Number: 99-01658 Hearing Site: Albany, New York REPRESENTATION OF PARTIES Claimant, Raoul A. Lim ("Li