Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Foresight Capital Management, Inc., Claimant v. Greg Escalante, Michael Hines, John Bruscia, Nader Mokri, Sarah H. Lewis, and James W. Geniere, Respondents and related Counterclaim and Third-Party Claim Case Number: 99-00884 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Foresight Capital Management, Inc. and Third-Party Respondent Robert

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Steven A. Johnson, Claimant vs. Prudential Securities Incorporated and Timothy Redpath, Respondents. Case Number: 99-00882 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES Claimant, Steven A. Johnson, hereinafter referred to as "Claimant": Steven A. Johnson, Tacoma, Washington Respondents, Prudential Securities Incorporated ("PSI") and Timothy Redpath ("Redpath"), h

«S.." ! « FA * NASD REGULATION NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant BA INVESTMENT SERVICES, INC. vs. Award No. 99-00876 Name of Respondent STANFORD GROUP COMPANY REPRESENTATION For Claimant: BA Investment Services, Inc. ("BAIS* or "Claimant") was represented by Myall S. Hawkins, Jenkens & Gilchrest, P.C, 1100 Louisiana, Suite 1800, Houston, Texas 77002 For Respondent: Stanford

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Diane C. Bernier, and Diane C. Bernier, Trustee and 99-00868 Troy, Michigan First of Michigan Corporation, and Mark A. Casebolt REPRESENTATION OF PARTIES Diane Bernier, individually, and Diane C. Bernier, Trustee ("Claimant") was represented by James C. Steffi, Esq., Steffi, Flood & Gerlach, Troy, Michigan. First of Michigan Corporation ("FOMC") and Mark A. Case

Award NASD Regulation, Inc. In the Matter of the Arbitration Between; Hutchison Brothers Partnership, Ltd. v. Dain Rauscher, Inc. and R. Leon Lehr Case Number: 99-867 Simplified Arbitration: Omaha, Nebraska REPRESENTATION OF PARTIES Claimant Hutchison Brothers Partnership, Ltd. ("Hutchison") hereinafter referred to as "Claimant": Charles W. Austin, Jr., Esq., Richmond, Virginia. Respondents, R. Leon Lehr ("Lehr") and Dain Rauscher, Inc. ("DR"), hereinaf

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Richard N. Yeats, Claimant v. Waterhouse Securities, Inc., Respondent Case Number: 99-00865 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Paul W. Thomas, Esq. Paul W. Thomas & Associates Carlsbad, California For Respondents: Michael J. Abbott, Esq. Catherine L. Dellecker. Jones, Bell, Abbott, Fleming & Fitzgerald Los Angeles

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-00861 Doumit Y. Elkartabani, claimant vs. DLJ Direct, Inc., A. Donaldson, Lufkin and Jenrette Company, respondent. ATTORNEYS: Claimant Doumit Y. Elkartabani ("Claimant"), appeared Pro Se., Mobil, AL. For Respondent DLJ Direct, Inc. ("Respondent"), A. Donaldson, Lufkin and Jenrette Company, David J. Campbell, Esq., Senior Vice President and Assistant General Co

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Royal Alliance Associates, Inc. Name nf the Respondent Marie E. Roland f!flgft r: 00-03352 Site: Norfolk, Virginia REPRESENTATION OF PARTIES Claimant Royal Alliance Associates, Inc., hereinafter referred to as "Claimant", was represented by Gregory M, Curley, Esq., Royal Alliance Associates, Inc., New York, New York. Respondent Marie E. Rolan

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Fidelity Brokerage Services, Inc., Claimant, v. Mohammed Zackaria Memnon, Respondent Case Number: 00-00353 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Fidelity Brokerage Services, Inc. (hereinafter referred to as "Claimant") was represented Lawrence K. Richmond, Esq. of Quincy, MA. Respondent, Mohammed Zakaria Memnon, (hereinafter referred to as "Respondent"

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00857 Debra A. Engel, claimant vs. Olde Discount Corporation and James Preshong, respondents. ATTORNEYS: Claimant Debra A. Engel ("Claimant"), appeared Pro Se., Vancouver, WA. For Respondents Olde Discount Corporation and James Preshong (collectively, "Respondents"), David S. Kempers, in-house counsel for Olde Discount Corporation, Detroit, MI. DATE FILED: 2/2