N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00903 Jim Phillips, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant Jim Phillips appeared Pro Se., Nashville, Tennessee. For Respondent E*Trade Securities, Inc., appeared Bob Salvador, Senior Compliance Analyst, E*Trade Securities, Inc., Palo Alto, California. DATE FILED: 03/02/1999 CASE SUMMARY: Claimant alleged that on February 3,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00902 Jon E. Guidry and Lorraine Guidry, claimants vs. Ameritrade, Inc., respondent. ATTORNEYS: Claimants, Jon E. Guidry and Lorraine Guidry, appeared Pro Se., Reserve, LA. Respondent, Ameritrade, Inc., appeared through its Vice President, James A. Rickets, Bellevue, NE. DATE FILED: 03/02/1999 CASE SUMMARY: Claimants alleged that respondent failed to execu

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00901 Ken Mackey Construction Company Employee Profit Sharing Plan, claimant vs. Richard A. Allen and PainWebber, Inc., respondents. ATTORNEYS: Claimant, Ken Mackey Construction Company Employee Profit Sharing Plan, appeared Kenneth L. Mackey, Granite Bay, CA. Respondents, Richard A. Allen and PaineWebber, Inc., appeared through Gregory E. Copeland, Associ

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-00900 Bennett Family Trust, claimant vs. First Metropolitan Securities, Inc., and Louis Sorrentino, respondents. ATTORNEYS: Claimant appeared Pro Se, through its trustees Loring F, Bennett and Virginia E. Bennett, Rescue, CA. Respondent First Metropolitan Securities, Inc., did not respond to the Statement of Claim. For Respondent Louis Sorrentino, appeared

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Walsh Manning Securities, LLC, (Claimant) vs. Morgan Wilshire Securities, Inc., Michael Finnan, and Barry Cassese, (Respondents) vs. Paul Wasserman, Craig Gross, James Shanley, Frank Skelly, HI, and Thomas Hack (Third-Party Respondents) Case Number: 99-00897 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Walsh Manning Securities, LLC, hereinafter referred to as

r Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Mikaehl Bagherian Case No. 99-00895 Name of Respondents First Asset Management LeeRoy Allen M.S. Farrell & Co. REPRESENTATION OF PARTIES Claimant Mikaehl Bagherian ("Claimant") was represented by David A. Holzman, Esq. of the law firm of Lepon McCarthy White & Holzworth, PLLC, Washington, D.C. Respondent LeeRoy Allen ("Allen") represen

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Claimant Albert A. Pacelli, as Trustree for the Albert A. Pacelli Trust v. Rothschild Investment Corporation Byron R. Marshall and Counter Claimant Rothschild Investment Corporation v. Counter Ftespnndfint Albert A. Pacelli, as Trustee for the Albert A. Pacelli Trust asQ Nlnmher 00-03355 Hearing Rite; Chicago, Illinois RFPRFfiFMTATIOM OF PARTIFR Alber

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Michael L. Bazzone, Jr. t/d/b/a/, Bazzone Insurance Agency, Claimant v. Nationwide Mutual Insurance Company Nationwide Mutual Fire Insurance Company Nationwide General Insurance Company Case No. 99-00891 Nationwide Property and Casualty Insurance Company, and Nationwide Variable Life Insurance Company n/k/a Nationwide Life and Annuity Company, Ann Cook-T

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Robert K. Maturi and Patricia J. Maturi and 99-00890 Name of Respondent Edward D. Jones & Co. REPRESENTATION OF PARTIES Robert K. Maturi and Patricia J. Maturi ("Claimants") appeared pro se. Edward D. Jones & Co. ("Respondent") was represented by Lisa A. Nielson, Esq., Greensfelder, Hemker & Gale, P.C., St. Looouis, Missouri. CASE INFORMATION The S

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Paul J. Witten Case No. 99-00888 Names of Respondents Daniel Martin Ciez VTR Capital, Inc. REPRESENTATION OF PARTIES For Paul J. Witten ("Witten"), hereinafter referred to as "Claimant": Eric A. Lanigan, Esq., Winter Park, Florida. For Daniel Martin Ciez ("Ciez"): Ruthann G. Niosi, Esq. of the Law Offices of Ruthann G. Niosi, Esq., P.C., New