Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Flynn D. Case, Claimant vs. Baxter, Banks & Smith, Ltd., F. Martin McDermott and Kevin Ruggiero, Respondents. Case Number: 99-01653 Hearing Site: Portland, OR REPRESENTATION OF PARTIES Claimant, Flynn D. Case (hereinafter referred to as "Claimant"): Keith L. Hayes, Esq., Post Office Box 982, Salem, OR 97308. Respondent, Baxter, Banks & Smith, Ltd. (hereinafter "Respondent

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Names of Claimants: Raymond and Claire Gordin Names of Respondents: Raymond James & Associates, Inc. and Greg David Martin Case No: 99-01651 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Raymond and Claire Gordin hereinafter collectively referred to as "Claimants": Russell L. Forkey, Esq., Russell L. Forkey, P.A., Fort Lauderdale, F

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tova Rosen, (Claimant) vs. Argent Securities, Inc. and Abraham Gutterman, (Respondents) Case Number: 99-01643 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Tova Rosen ("Rosen")* hereinafter referred to as "Claimant": John M. Schwartz, Esq., Herzfeld £ Rubin, P.C., New York, NY. Respondent, Argent Securities, Inc. ("Argent"): Matthew Tracy, Esq., Winget,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE; 99-01640 Robert J. Bucher and Susan Bucher, claimants vs. Ameritrade, Inc., respondent. ATTORNEYS: For Claimants Robert J. Bucher and Susan Bucher, appeared Daniel B. Pierson, V, Esq., of the firm, Heaney & Associates, King of Prussia, Pennsylvania. For Respondent Ameritrade, Inc., appeared in-house counsel, James J. Vihstadt, Esq., Bellevue, Nebraska. DATE F

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Rosemary Johnson, as Successor in Interest to Larry and Sainty Malta, (Claimant) vs. Bodell Overcash Anderson & Co. and Jay Kates, (Respondents) Case Number: 99-01639 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant Rosemary Johnson as Successor in Interest to Larry and Sainty Malta, hereinafter referred to as "Claimant": Michael O. Morse, Esq., Buffalo, New York.

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Kim Mitchell Case No. 99-01637 Name of Respondents Barington Capital Group, L.P. Brandon Ross REPRESENTATION OF PARTIES For Kim Mitchell ("Mitchell"), hereinafter also referred to as "Claimant": Richard A. Stephens, Esq., Boca Raton, Florida. For Respondent Barington Capital Group, L.P. ("Barington 1 '): Clifford Thau, Esq. of

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Stephen C. Schulmerich, Claimant vs. Pacific Harbor Securities, Inc., Kenneth W. Wagner, Michael K. Wagner, Joanne Wagner, Sara Lynn Hannan and Larry R. Baldwin, Respondents. Case Number: 00-03479 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES Claimant, Stephen C. Schulmerich, hereinafter referred to as "Claimant": Stephen C. Schulmerich, Portland, Oregon Respond

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-01634 William F. May, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant, William F. May ("Claimant"), appeared Pro Se., Queen Creek, AZ. Respondent, E*Trade Securities, Inc. ("Respondent 11 ), appeared through its Compliance Analyst, Bob Salvador, Palo Alto, CA, DATE FILED: April 20, 1999 CASE SUMMARY: Claimant alleged that Respondent's manual and tradi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Michael R. Slavit Betsy E. Slavit Joyce Silverman Donald Cohen Jill Cohen vs. Case No. 99-01633 Name of Respondent Richard A. Durot REPRESENTATION OF PARTIES Claimants, Michael R. Slavit ("M. Slavit"), Betsy E. Slavit ("B. Slavit"), Joyce Silverman ("Silverman"): Michael R. Slavit, Warwick, Rhode Island Claimants, Donald Cohen ("D.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles Products, Inc., Marshall Cannon, Frank Stopak, and Glen Heitmann, (Claimants) v. Global Equities Group, Inc., Adam Townsend, Marcial F. Chiong, Jr,, Aleksander Shvarts, Aleks Paul, and Igor Eric Kuvykin, (Respondents) Case Number: 99-01632 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Charles Products, Inc. ("Charles Products"), Marshall Cannon ("C