Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Michael B. Arouh, (Claimant) vs. Fidelity Brokerage Services, Inc., Fidelity Investments, Edward C. Johnson, III, and Gregory W. Evans, (Respondents) Case Number: 99-01173 REPRESENTATION OF PARTIES Claimant, Michael B. Arouh, hereinafter referred to as "Claimant", appeared pro se. Respondents, Fidelity Brokerage Services, Inc. ("Fidelity Brokerage"), Fidelity Investments ("Fidelit

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David R. and Candyce A. Butz, Claimants, v. Erick Kuebler and Bear Stearns & Co., Inc. Respondents Case Number: 99-01164 Hearing Site: St. Louis, MO REPRESENTATION OF PARTIES Claimants David R. Butz and Candyce A. Butz, (hereinafter referred to as "Claimants") were represented by David B. Helms, Esq. of Lewis, Rice & Fingersh, L.C., St. Louis, Missouri. Respondents Eri

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John Allen, Patricia Lynn Allen, and John Gittins, Claimants v. Foster Jeffries Securities, LLC, Charles Albert DaCruz, Sean Peter McManus, George Michael Greco, Jr., Thomas Charles Dunn, Dominick Palermo, Matthew Joseph Schonberg, Robert Steven Thomas, Michael Scott Weiner, Harvey Joel Latzen, George Robert Goldman, Jr., Steven Lee Karno, Kevin Charles Held, Thomas Maiorana, Thom

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Bettina M. Hartwig (Claimant) vs. Shashin J. Patel, Carlin Equities Corporation, Reliance Capital, Inc., and Generic Trading of Philadelphia (Respondents) Case Number: 99-01159 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Bettina Hartwig ("Hartwig"): James J. Eccleston, Esq., Eccleston & Associates, P.C., Roseland, New Jersery Respondent Shashin J. Patel ("Pa

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Frank Arnold, Claimant vs. Peter Restivo, Parker Bromley Ltd., Dain Rauscher, Inc., J.B. Oxford and Company, Inc., and GunnAllen Financial, Inc., Respondents. Case Number: 99-01157 Hearing Site: Louisville. Kentucky REPRESENTATION OF PARTIES Claimant, Frank Arnold, "Arnold", hereinafter referred to as "Claimant", represented himself. Respondent, Peter Restivo, "Restivo", repre

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Ramsey N. Nassour Case No. 99-01156 Names of Respondents Taylor Stuart Financial Michael C. Minotto Eric L. Monroe Irving S. Minnaker REPRESENTATION OF PARTIES For Ramsey N. Nassour hereinafter referred to as "Claimant": Timothy K. Reynolds, Esq. of the Brazee Law Firm, Lafayette, Louisiana. For Taylor Stuart Financial, Michael C. Minotto, Eric

NASD NASD Re 9 ulation ' |nc - Office of Dispute Resolution JUVTIPN 125 Broad Street" 36th Floor * New York. An NASD Compaiy Satellite Office at 1735 K Street " 41h Floor * NW * Washington, DC 20006-1506 * 202-728-8958 * Fax 202-728-6952 Office of Dispute Resolution REGULATION 125 Broad Street'36th Floor* New York. NY 10004-2193 '212-859-4400 " Fax 212-358-4389 N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGU

NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: \ Donald and Ruth White, Claimant v. First Union Brokerage Services, Inc. n/k/a First Union Securities, Inc., Lance Kevin Wilson and James Robert Laughlin, Jr., Respondents Case Number: 00-3408 Hearing Site: Charlotte, North Carolina REPRESENTATION OF PARTIES For Claimant: John B. Veach III, Esq. Falls & Veach Asheville, North Carolina For Respondents: James A. Vollins, Esq.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Thomas J, Walsh, (Claimant) vs. L.T. Lawrence & Co., Inc., Shamus Group, Inc. and John Daniel Connolly, (Respondents) Case Number: 99-01151 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Thomas J. Walsh, hereinafter referred to as "Claimant", appeared pro se. Respondents L.T. Lawrence & Co., Inc. ("Lawrence") and Shamus Group, Inc. ("Shamus"), did not

Award NASD Regulation. Inc. In the Matter of the Arbitration Between Barbara Carpe (Claimant) vs. Jerome Rubin, Alan P. Halpert and Matthew Halpert (Respondents) Case Number: 99-01150 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Barbara Carpe, hereinafter referred to as "Claimant": Morgan W. Bentley, Esq., Newark, New Jersey. Respondent, Jerome Rubin, hereinafter referred to as "Respondent Rubin": Anthony Padunno, Esq., S