Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Grady Woodrow and Susan B. Harlan, Jr. Case No. 99-01432 Name of Respondent A.G. Edwards & Sons, Inc. REPRESENTATION OF PARTIES For Grady Woodrow and Susan B. Harlan, Jr., hereinafter collectively referred to as "Claimants": Joel A. Goodman, Esq, of Goodman and Nekvasil, P.A., Clearwater, FL. For A.G. Edwards & Sons, Inc., hereinafter referred to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John F, Schubert and Victoria A. Schubert, Claimants v. Dennis Fitz Dixon, Mark David Hovland, Kory Robert Kemp, Simmons & Bishop Co., Inc. and Evelyn Kottle Simmons, Respondents v. Robert B. Ravenscroft, Third-Party Respondent Case Number: 00-03452 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Howard M. Hoffman, Esq. Melinda Steuer, Es

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael DePaolo (Claimant) vs. West America Securities Corp., Correspondent Services Corporation, and Robert Kay, (Respondents) Case Number: 99-01431 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Michael DePaolo ("DePaolo"), hereinafter referred to as "Claimant": Robert E. Murphy, Esq., Upper Saddle River, NJ. Respondents, West America Securities C

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Core Equity Trust and Catullus Ltd. Partnership (Claimants) vs. Prudential Securities, Inc. (Respondent) Case Number: 99-01430 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Core Equity Trust and Catullus Ltd Partnership, hereinafter collectively referred to as "Claimants": Joseph F. Keenan, Esq., New York, New York. Respondent, Prudential Securities Inc., he

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Arthur Wein, individually and as custodian for Eric Wein and Brian Wein, (Claimant) vs. FAB Securities of America, Inc. f/k/a RAS Securities Corp., Marc Wein, David Parsons, and Wertheim Schroder & Co., Inc. n/k/a Schroder & Company, (Respondents) Case Number: 99-01427 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Arthur Wein, individually and as custodi

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01424 Richard A.S. Jones, claimant vs. John Duffy and The Vanguard Group, respondents. ATTORNEYS: Claimant Richard A.S. Jones appeared Pro Se., Powell, Ohio. For Respondents John Duffy and The Vanguard Group, Pauline C. Scalvino, Esq., Principle and Associate Counsel of The Vanguard Group, Valley Forge, Pennsylvania. DATE FILED: 03/24/1999 CASE SUMMARY: Cl

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-01422 Thomas E. Thurman, claimant vs. A.G. Edwards, Inc. and Steve Mestres, respondents. ATTORNEYS: For claimant appeared Roy Hendin, Esq., St. Louis, MO. For respondents appeared in house counsel, Jeff Jamieson, Esq., St. Louis, MO. DATE FILED: March 24, 1999 CASE SUMMARY: Claimant alleged negligence with respect to respondents' delay in entering sell orders for eight S&P Cash Ind

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Gary K. Coveny (Claimant) vs. Broker Dealer Financial Services Corp., John M. Colias, and Jeff Joseph Heider (Respondents) Case Number: 99-01419 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Gary K. Coveny ("Coveny"): Laurence M. Landsman, Esq., Block & Landsman, Chicago, Illinois Respondents Broker Dealer Financial Services Corp. ("Broker Dealer") John M.

RICHARD A. KAROLY California Bar# 171065 CHARLES SCHWAB & CO., INC Office of Corporate Counsel 101 Montgomery St. San Francisco, CA 94104 (415)636-1127 Attorneys for Claimant IN ARBITRATION PROCEEDINGS BEFORE THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CHARLES SCHWAB & CO., INC., ) NASD Docket No.: 99-01415 ) - Claimant, j STIPULATED AWARD v - ) MT PARTNERS, a partnership; and MASON ) TARKESHIAN aka MOHSEN <

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Barton and Evelyn Klayman Case No. 99-01414 Name of Respondent All-Tech Investment Group, Inc. REPRESENTATION OF PARTIES For Claimants: Bruce W. Barnes, Esq. of Johnson, Blakely, Pope, Bokor, Ruppel & Burns, P.A., Tampa, FL. For Respondent: Robert Wayne Pearce, Esq. of Robert Wayne Pearce, P.A., Ft. Lauderdale, FL. CASE INFORMATION Statement o