Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Charles P. and Jane E. Adkins Adkins & Co., Inc. Name of Respondents NASD Case No. 99-00850 Hearing Location: Washington, D.C. Philip E. Teseo Victor M. Wang REPRESENTATION OF PARTIES Claimants Charles P. Adkins, Jane E. Adkins, and Adkins & Company, Inc. ("Claimants"): John P. Connolly, Esq., Alexandria, Virginia. Respondent Philip E. Teseo ("

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Alan K. Beinhacker, (Claimant) vs. Janney Montgomery Scott and Lawrence Doyle, (Respondents) Case Number: 99-00844 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant Alan K. Beinhacker, hereinafter referred to as "Claimant" appeared pro se. Respondents Janney Montgomery Scott ("IMS") and Lawrence Doyle ("Doyle"), hereinafter collectively referred to as "Respondents": Th

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Keng-Yin Wong, Claimant v. Charles Schwab & Co., Inc., and Joseph Wong Respondents Charles Schwab & Co., Inc., Counter-Claimant v. Keng-Yin Wong Counter-Respondent Case Number: 99-00842 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Libby Wong, Esq. Irvine, California For Respondents: Ekwan E. Rhow, Esq. Bird, Marella, Boxer & Wolpert

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jay Kiessling and Sharon Kiessling (Claimants) vs. E*Trade Securities, Inc. (Respondent) Case Number: 99-00839 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Jay Kiessling and Sharon Kiessling, ("Kiessling"), hereinafter collectively referred to as "Claimants": James J. Eccleston, Esq., Eccleston & Associates, Chicago, Illinois. Respondent E*Trade Securities, Inc. (

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Marie Ann Elliott individually and as Trustee of the Marie Ann Elliott Charitable Remainder Unitrust Case No. 99-00834 Names of Respondents Dean Witter Reynolds, Inc. Hill, Crawford & Lanford, Inc. Sterne, Agee & Leach, Inc. Darin Bryant Shea Robert Louis Lanford / REPRESENTATION OF PARTIES For Marie Ann Elliott individually and as Trustee o

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Lynn Tilton (Claimant) vs. Marc Lasry and Amroc Investments, Inc. (Respondents) Case Number: 99-00833 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Lynn Tilton, hereinafter referred to as "Claimant": Daniel J. Brooks, Esq., Layton, Brooks & Hecht, New York, New York. Respondents. Amroc Investment Inc. ("Amroc") and Marc Lasry, ("Lasry") hereinafter co

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Michael Minelli v. E*Trade Securities, Inc. Case Number: 99-828 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, Michael Minelli ("Minelli") , hereinafter referred to as "Claimant": Michael S. Clawson, Esq., Hardy Lewis & Page, P. C. t Birmingham, Michigan. Respondent, E*Trade Securities, Inc. (E*Trade), hereinafter referred to as "Respondent": Paul

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Emmett J. Harty, (Claimant) vs. Cantor Fitzgerald & Co., Inc., (Respondent) Case Number: 99-00824 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Emmett J. Harty, hereinafter referred to as "Claimant": Edward V. O'Hanlon, Esq., Robinson & Cole, LLP, Stamford, CT. Mr. O'Hanlon was with the law firm of O'Rourke O'Hanlon & Zimmermann, LLP, New Canaan, CT, when this

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-00822 Sandra Spincola, claimant vs. Waterhouse Securities, Inc., respondent. ATTORNEYS: For Claimant appeared Kevin P. Conway, Esq., of the firm Conway & Conway, New York, NY. Respondent appeared through its Assistant Counsel, Janis Campanella, Esq., New York, NY. DATE FILED: 2/24/99 ~~~~~~ CASE SUMMARY: Claimant alleged that after claimant placed an order

Award NASD Dispute Resolution, Inc. in the Matter of the Arbitration Between ft nf ffflimflnf Estate of Lauren W. Wolfe Case No. 00-03351 J.C. Bradford & Co., n/k/a Paine Webber, Inc. Mark E. Considine Martin J. Bannon III Hearing Sitff- Baltimore, MD Claimant, Estate of Lauren W. Wolfe, hereinafter referred to as "Claimant": Robert A. Kantas,^: K-tuu.- Esq., Michie, Hamlet, Lowry, Charlottesville, VA. : ' Miobie, H > Respondents