N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01222 Frank J. Briscoe, III, claimant vs. DLJdirect, Inc. and Sherwood Securities, respondents. ATTORNEYS: Claimant Frank J. Briscoe, III ("Claimant") appeared Pro Se., Bethel, Connecticut. For Respondent DLJdirect, Inc. ("DLJdirect"), Donald J. Campbell, Esq., Senior Vice President and Associate General Counsel, DLJdirect, Jersey City, New Jersey. For Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Kuletsky and John Arpa Sr. (Claimants) v. Alden Capital Markets, Harvey M. Bloch, Carey Cimino, and William Burke (Respondents) Case Number: 99-01221 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member, Associated Persons and Non-Member REPRESENTATION OF PARTIES Claimants Michael Kuletsky ("Kuletsky") and John Arpa Sr. ("Arpa"), hereinafter collective

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01220 The Estate of Sarah M. Holdsworth, claimant vs. Merrill Lynch Pierce Fenner & Smith, Inc. and Jim Goff, respondents. ATTORNEYS: Claimant appeared through one it's Executors, Sally A. Rogers, who appeared Pro Se., Ocean City, NJ. For Respondents, Merrill Lynch Pierce Fenner & Smith and Jim Goff, appeared General Counsel of Merrill Lynch Pierce Fenner

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI^ttS REGULATION. INC. CASE: 99-01219 Paula Styliades and Katherine Sty Hades, claimants vs. Dan Luther and Schneider Securities, Inc., respondents. ATTORNEYS. Claimant Paula Styliades and Katherine Styliades ("Claimants"), appeared Pro Se., Rochester, New York. Respondent Dan Luther ("Luther"), did not respond to the Statement of Claim. Respondent Schneider Securities, Inc. ("Schneider

Award NASD Regulation, Inc. in the Matter of the Arbitration Between: Dean Witter Reynolds, Inc. vs. Keith A. West Case Number: 99-1203 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, Dean Witter Reynolds, Inc. ("DWR"), hereinafter referred to as "Claimant": Jean Vierre Adams, Esq., Honigman Miller Schwartz and Cohn, Detroit, Michigan. Respondent, Keith A. West ("West"), hereinafter referred to as "Respondent": Anthony V. Tro

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: William W. Burke, (Claimant) vs. Everen Securities (Respondent). Case Number: 99-01200 Hearing Site: Dallas. Texas REPRESENTATION OF PARTIES Claimant, William W. Burke ("Claimant"): Geoffrey H. Bracken, Esq. Gardere Wynn Sewell & Riggs, L.L.P., Dallas, Texas. Respondent, Everen Securities, n/k/a First Union Securities, Inc. ("Respondent"): Retta A. Miller, Jackson & Walker, L.L.P.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Annabelle I. Johnsen and Arthur J. Johnsen, Claimants v. Michael D. Montgomery and Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondents Case Number: 00-03411 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: William R. Walton, Esq. Attorney at Law Tacoma, Washington F

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Frederic A. and Janet Lee Horowitz, (Claimants) vs. Edward D. Jones & Co. and Bruce C. Pierce, (Respondents). Case Number: 99-01199 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES Frederic A. and Janet Lee Horowitz "Claimants": Shannon L. McDougald, Esq., Perkins Cole LLP, Seattle Washington. Edward D. Jones & Co. "EDJ": Michael R. Scott, Esq., Hillis, Clark, Martin &

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Peter A, Bouchard and Name of Respondents Baxter Banks &. Smith, Ltd. Michael Anthony Boston Kevin John Ruggiero Francis Martin McDermolt Maurizio Virginio Grammatica John McGowan, HI CharlesMasi Robert John Ogilvie 99-01198 Chicago, Illinois REPRESENTATION OF PARTIES^ - -5 Peter A. Bouchard ("Claimant") was represented b

Award NASD Dispute Resolution, Inc. _. [-•" ;r.N.MAssociATic;j -0-; i^'JKITIKS DEALERS It^ n i^EUTO'T < ( ' ' Utfr:-,«o, BI ill In the Matter of the Arbitration Between: Edwina Von Jagla, Claimant vs. David Noyes & Company and Gregory Keith, Respondents. Case Number: 99-01194 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Edwin Von Jagla hereinafter referred to as "Claimant", was represented by Sean Greenwoo