Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michele N. Ferrett, (Claimant) vs. The CMS Group, L.L.C., (Respondent) Case Number: 99-01242 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Michele N. Ferrett, hereinafter referred to as "Claimant", appeared pro se. Respondent, The GMS Group, L.L.C., hereinafter referred to as "Respondent": Joseph DaProcida, Esq., Counsel, Gruntal & Co., L.L.C., New York,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dennis J. Carothers, Claimant vs. PaineWebber Incorporated, Respondent. Case Number: 99-01241 Hearing Site: REPRESENTATION OF PARTIES Claimant, Dennis J. Carothers, (hereinafter referred to as "Claimant"): Vincent Zuccaro, Esq., 101 Continental Place, Suite 111, Brentwood, TN 37027. Respondent, PaineWebber, Incorporated (hereinafter referred to as "Respondent"): Mark S. As

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Robert C. Nowotny Case No. 99-01240 Names of Respondents J.P.Turner & Co., LLC Argent Securities, Inc. Marion Daniel Sherrill REPRESENTATION OF PARTIES For Claimant, Robert C. Nowotny ("Nowotny"), hereinafter referred to as "Claimant": J. Pat Sadler, Esq. of the law firm of Sadler & Hovdesven, P.C., Atlanta, Georgia. For Respondents J.P. Turner & Co

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Karla S. Burnett Case No. 99-01239 Name of Respondent Steven M. Redden REPRESENTATION OF For Karla5. Burnett ("Burnett"), hereinafter referred to as 'Claimant": James C. Cothran, Jr., Esq., Spartanburg, South Carolina. ; For Steven M. Hedden ("Hedden"), hereinafter referred to as "Respondent": William (?.> Yarborough, Esq. of the law firm of Ashmore & Yarborough, P.A.,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Hector P. and Catherine Milanes Case No. 99-01238 ~ Name of Respondents A.G. Edwards & Sons, Inc. Brian J. McCafferty Mario Ferrari HEARING LOCATION: PHILADELPHIA, PA REPRESENTATION OF PARTIES Claimants, Hector P. and Catherine Milanes, hereinafter collectively referred to as ("Claimants"): G. Alexander Novak, Esq. and Kim Steven Juhase, Es

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01237 Todd W. and Carolyn P. Bayer, claimants vs. Charles Schwab & Co., Inc., respondent. ATTORNEYS: Claimants Todd W. and Carolyn P. Bayer appeared Pro Se., Moreland Hills, OH. Respondent appeared through in-house counsel, Sean B. Meehan, Esq., San Francisco, CA. DATE FILED: 03/16/99 CASE SUMMARY: Claimant alleged failure to execute a sell order for shares of

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Novin Katherine Golshani, Claimant v. E*Trade Securities, Inc., Respondent Case Number: 00-03412 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: J. William Nosel, Esq. Law Offices of J. William Nosel Los Angeles, California For Respondent: Mark T. Drooks, Esq. Ekwan E. Rhow, Esq. Bird. Marella, Boxer & Wolpert Los Angeles, Californ

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Barry Weiss, TTEE The Barry Weiss M.D. Profit Sharing Plan and 99-01236 Phoenix, Arizona Name of Respondents Sutro & Co., Incorporated Sidney Meyers REPRESENTATION OF PARTIES Barry Weiss, TTEE The Barry Weiss M.D. Profit Sharing Plan ("Claimant") was represented by Michael H. Moss, Esq., Park Ridge, Illinois. Sutro & Co., Incorporated ("Respondent S

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01234 Ronnie Yarborough IRA, claimant vs. Discover Brokerage Direct, Inc., respondent. ATTORNEYS: Claimant, Ronnie Yarborough, appeared Pro Se., Mabolvali, AR. Respondent, Discover Brokerage Direct, Inc., appeared through its In-House Counsel, Judith M. Rosenberg, Esq., San Francisco, CA, DATE FILED: 03/16/99 CASE SUMMARY: Claimant alleged that on November

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Gwendolyn Hardy Williams Revocable Trust Oliver Williams Family Trust Atlas Family Partnership d/b/a Investment Company Case No. 99-01225 Names of Respondents Mclaughlin, Piven, Vogel Securities, Inc. James Kennedy REPRESENTATION OF PARTIES For Gwendolyn Hardy Williams Revocable Trust, Oliver Williams Family Trust and Atlas Family Partners