Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Fulton V. Clark, Jr. Case No. 00-03454 Names of Respondents FFP Securities, Inc. William Chesley Sowell, IV William C. Sowell d/b/a Sowell, Rownd & Associates The Financial Advisory Group Mendel/Sowell Capital Management, Inc. Hearing Site: New Orleans, LA REPRESENTATION OF PARTIES For Fulton V. Clark, Jr., hereinafter referred to as "Cl

Award iNASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Adrian S. McOmber, Claimant vs. Bruce Howard Chmara, Respondent. Case Number: 99-01505 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Adrian S. McOmber ("McOmber"), hereinafter referred to as "Claimant": Craig S. Fox, Esq., King, Snell, Mildwurrn & Fox, Fremont, California Respondent, Bruce Howard Chmara ("Chmara"), hereinafter referred to as "Res

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Connie Winokur and Debbie Winokur, Claimants v. Great Western Financial Securities Corporation and Washington Mutual Bank, Respondents Case Number: 99-01502 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Richard Tanzer, Esq. Law Offices of Richard Tanzer Glendale, California For Respondents: Anthony F. Pantoni, Esq. Law Offices of An

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Charles P. Callaway, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith Inc. and Bruce W. Gulp (Respondents). Case Number: 99-01499 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Charles P. Callaway ("Claimant"): Robert L. Yeager, Esq.: Law Office of Robert L. Yeager, Dallas, Texas. Respondent, Merrill Lynch, Pierce, Fenner Smith Inc. ("Respondent Merrill Ly

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Steven L. Gilfenbain, Claimant v. Morgan Stanley Dean Witter, Inc. and Carl Wright, Respondents Case Number: 99-01496 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Edward S. Gelfand, Esq. Gelfand & Stein, LLP Los Angeles, California For Respondents: Ronald E. Wood, Esq. Morgan Stanley Dean Witter, Inc. San Francisco, California

N.A.S.D. REGULATION AWARD NATIONAI, ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE; 99-01492 Claire Lanced and Gertrude Lanced. JTTEN. claimants vs. Waterhou^e Securities. Inc.. respondent. ATTORNEYS; Claimants Claire Lanced and Gertrude Lanced. JTTEN. ("Claimants"), appeared Pro Se., Arlington, Massachusetts. For Respondent Waterhouse Securities, Inc.. ("Respondent") Janis Campanella. Esq., Assistant Counsel to Waterhouse Securities, Inc.,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Lincoln Adair and Sally Adair (Claimants) vs. Auerbach, Pollack and Richardson, Inc., Mark Rauseo, Robert L. Haag, Andrew W. Haag (Respondents) Case Number: 99-01491 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Lincoln Adair and Sally Adair, hereinafter collectively referred to as "Claimant(s)": pro se, New York, New York. Respondents, Auerbach, Pollack

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rodney Meere, (Claimant) vs. Bear Stearns & Co., Inc., (Respondent) Case Number: 99-01489 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Rodney Meere, hereinafter referred to as "Claimant": Dan A. Druz, Esq., a sole practitioner, Manasquan, NJ. Respondent, Bear Stearns & Co., Inc., hereinafter referred to as "Respondent": Harold J. Ruvoldt, Esq., Edwards &

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Ronald Peter Mas, Jr., (Claimant) vs. RAS Securities Corporation, (Respondent), Case Number: 99-01487 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Ronald Peter Mas, Jr., hereinafter referred to as "Claimant": Julian Wilsey, Esq., Franzblau Dratch, PC, Livingston, New Jersey. Respondent, RAS Securities Corporation, hereinafter referred to as "Respondent"

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01481 Cliff S. Huang, claimant vs. Quick and Reilly, Inc., respondent. ATTORNEYS: Claimant Cliff S. Huang ("Claimant") appeared Pro Se., Hong Kong, China. Respondent Quick and Reilly, Inc. ("Respondent") appeared through Brian McSherry, New York, NY. DATE FILED: 03/26/99 CASE SUMMARY: Claimant alleged that Respondent failed to acknowledge or accept res