Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Edward Sigourney, (Claimant) vs. Meyers Pollack Robbins, Inc., Tasin & Company, Randy Narod, and Jason Galtieri, (Respondents). Case Number: 99-01343 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Edward Sigourney, "Claimant": Douglas W. Oldfield, Esq., Oldfield & Creely, LLP, Carmel, California. ^ Tasin & Company, 'Tasin": Emst Edward Badway, Esq., Sai

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01335 Charles Schwab & Co., claimant vs. Mario J. Heraux, respondent. ATTORNEYS: For Claimant Charles Schwab & Co. ("Claimant") appeared Mauricio J. Rauld, Esq. of the firm Keesal, Young & Logan, Long Beach, CA. Respondent Mario J. Heraux ("Respondent") did not respond to Claimant's Statement of Claim. DATE FILED: 03/19/99 CASE SUMMARY: Claimant alleged du

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jim W. Quinn, Claimant vs. BA Investment Services, Inc., Respondent. Case Number: 99-01334 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimant, Jim W. Quinn (hereinafter referred to as "Claimants": In Pro Per, 2724 Pigeon Pt Road, Eureka, CA 95503. Respondent, BA Investment Services, Inc., (hereinafter referred to as "Respondents. Andrea Hackett Henningsen, Esq., St

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Kamlesh Chopra vs. Investscape, Inc. Case Number: 99-1331 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, Kamlesh Chopra ("Chopra"), hereinafter referred to as "Claimant(s)": pro se, Claimant was formerly represented by Edward M. Olson, Esq., of Velardo Sugameli & Olson, P.L.C., Troy, Michigan. Respondent, Investcape, Inc. ("lnvestcape"),hereinafterreferredto a

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tullett & Tokyo Liberty Securities, Inc., (Claimant) vs. Credit Research & Trading, LLC, (Respondent) Case Number: 00-03417 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Tullett & Tokyo Liberty Securities, Inc., hereinafter referred to as "Claimant": Jeffrey Plotkin, Esq., Eiseman Levine Lehrhaupt & Kakbyiannis, New York, NY. Respondent, Credit Resea

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01328 Laird Eastman, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant Laird Eastman ("Claimant"), appeared Pro Se., Santa Cruz, California. For Respondent E*Trade Securities, Inc ("Respondent"), Bob Salvador, Senior Compliance Analyst, E*Trade Securities, Inc., Palo Alto, California. DATE FILED: 03/19/1999 CASE SUMMARY: Claimant alleg

Award NASD Dispute Resolution In the Matter of the Arbitration Between: MK Link Investments Limited Partnership and Levine Investments, LP (Claimants) v. WSW Capital, Inc.; Wood, Struthers & Winthrop Management Corp.; Donaldson, Lufkin & Jenrette Securities Corporation; and CSAM Capital, Inc., as successor to WSW Capital, Inc. (Respondents) Case Number: 99-01327 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Non-Members

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: William J. Guthlein, (Claimant) vs. Quick & Reilly, (Respondent) Case Number: 99-01326 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, William J. Guthlein, hereinafter referred to as "Claimant" appeared pro se. Respondent, Quick & Reilly, hereinafter referred to as "Respondent": Douglas S. Flaherty, Quick and Reilly, Inc., New York, NY. CASE INFORMATION

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant The Christie Group Case No. 99-01325 Name of Respondents S.G. Cowen Securities Corp. Lawrence Cohen Anthony DePalma Ronald Flipowitz Thomas Schwartz Robert Benjamin consolidated with Case No. 99-04762 Name of Claimant GKN Securities Corp. (n/k/a Southeast Research Partners, Inc.) Name of Respondents Sean Boyle, d/b/a The Christie Gro

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Randall Sears and Cathy Sears Case No. 99-01322 Names of Respondents Brad Nirenberg Jack Skidell Paul Brusca D.L. Cromwell Investments, Inc. Strategic Resource Management, Inc. REPRESENTATION OF PARTIES For Randall Sears and Cathy Sears ("Claimants"): Stephen D. Spivey, Esq. of the Law Offices of Stephen D. Spivey, Esq., Ocala, Florida. Fo