Award NASD Regulation, Inc. In the Matter of the Arbitration Between: J. Michael Bristow, (Claimant) vs. Huntleigh Securities Corporation, (Respondent). Case Number: 99-01293 Hearing Site: St. Louis. Missouri REPRESENTATION OF PARTIES Claimant, J. Michael Bristow, hereinafter referred to as "Claimant": Maurice B. Graham, Esq., The Graham Law Firm, St. Louis, Missouri. Respondent, Huntleigh Securities Corporation, hereinafter referred to as "Resp

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Joseph Lopresto, individually and as Trustee for the Lopresto Family Trust UAD 11/26/91 Case No. 99-01289 Names of Respondents Baxter BanJcs & Smith, Ltd. Kevin J- ggiero :: L , Francis i ,:tin McDermott REPRESENTATION OF PARTIES For Claimants: David A. Weintraub, Esq. of David A. Weintraub, P.A., Ft. Lauderdale, FL. For Respondents Ba

A war a NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Estate of Astrid Mattsson Case No. 99-01286 Names of Respondents The Robinson-Humphrey Company, Inc. William S. Royall, Jr. REPRESENTATION OF PARTIES For the Estate of Astrid Mattsson, hereinafter referred to as "Claimant": Robert V. DeMarco, Esq. of the law offices of Robert V. DeMarco, P.A., Charleston, South Carolina, and J. Kirkland Grant,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Carol Worth Case No. 99-01284 Names of Respondents The Equitable Life Assurance Society of the United States Equico Securities, Inc. n/k/a EQ Financial Consultants, Inc. REPRESENTATION OF PARTIES For Claimant: William S. Isenberg, Esq. of Latona & Isenberg, Ft. Lauderdale, FL. For Respondents: Richard J. DeMarco, Esq. of The Equitable Life Assurance

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Paul Mosby and Preferred Travel Service, Inc. and , 99-01281 Minneapolis, Minnesota Name of Respondents Prime Charter, Ltd. Corporate Securities Group, Inc. Scott Alan Rubin REPRESENTATION OF PARTIES Paul Mosby and Preferred Travel Service, Inc. ("Claimants") were represented by Ted S. Meikle, Esq., Meikle Professional Association, Minneapolis, Min

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03414 Frederick L. Ashler and Carolyn F. Ashler, Claimants vs. Roger Stubbs and Carlos Cajero, Respondents. ATTORNEYS: Claimants appeared Pro Se., Tucson AZ. For Respondents appeared Ronald E. Wood, Esq., San Francisco, CA. DATE FILED: August 8, 2000 CASE SUMMARY: Claimants alleged that Respondents breached their fiduciary duty and mishandled their account. Claimants maintained

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name Of Edward and Priska Ratkovich v. Case No. 99-01279 of Respondents Dean Witter Reynolds Inc. (n/k/a Morgan Stanley Dean Witter, Inc.) Mark A. Rodgers REPRESENTATION OF PARTIES Claimants Edward Ratkovich and Priska Ratkovich ("Claimants") were represented by Burton H. Finkelstein t Esq. and Shannon P. Kerriry, Esq. of the law firm of Finkelstein, Thompson &

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kenneth J. Hearron and Stephanie Hearron, Claimants vs. The Boston Group, L.P. and Vernon Brown, Respondents, Case Number: 99-01272 Hearing Site: Seattle, Washington REPRESENTATION Op PARTjfES Claimants, Kenneth J. Hearron and Stephanie Hearron, hereinafter referred to as "Claimants": Laurel H. Siddoway, Esq., Randall & Danskin, P.S,, Spokane, Washington Respond

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: William J. Hickmann Revocable Trust, Claimant vs. Ameritrade, Inc., Respondent. Case Number: 99-01270 Hearing Site: Milwaukee, Wisconsin REPRESENTATION OF PARTIES Claimant, William J. Hickmann Revocable Trust ("Hickmann"), hereinafter referred to as "Claimant", was represented by James G. Schweitzer, Esq., Schweitzer & Cincotta, LLC, of Milwaukee, Wisconsin. Respondent, Amerit

Award NASD Reaulation. Inc. In the Matter of the Arbitration Between: Russell Reed and Lois Jane Reed, Claimants vs. IAR Securities Corporation, Fairchild Financial Group, Inc., and Geoffrey Paul Scalera, Respondents. Case Number: 99-01269 Hearing Site: Cleveland. Ohio REPRESENTATION OF PARTIES Claimants, Russell Reed and Lois Jane Reed ("The Reeds"), hereinafter referred to as "Claimants", were represented by Carter R. Dodge, Esq., of Cleveland, Oh