N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00818 Merrill Lynch, Pierce, Fenner & Smith, Inc., claimant vs. George Block individually, and d/b/a Block and Associates, respondents. ATTORNEYS: For Claimant appeared Suzanne S. Killian, Esq. and Jack D. Ballard, Esq. of the firm Ogden, Gibson, White & Broocks, L.L.P., Houston, TX. Respondents failed to file a Statement of Answer. DATE FILED: 2/23/99

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: 'Kamlesh Chopra v. Waterhouse Securities, Inc. Case Number: 99-817 Hearing Site: Detroit. Michigan REPRESENTATION OF PARTIES Claimant, Kamlesh Chopra ("Chopra"), hereinafter referred to as "Claimant": Edward M. Olson, Esq., Velarde Sugameli & Olson, P.L.C., Troy, Michigan. Respondent, Waterhouse Securities, Inc. fWaterhouse"), hereinafter referred to as "Respondent": Mark L. Kowal

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Craig Birkelbach Case No. 99-00813 Names of Respondents The Boston Group, L.P. Robert A. Diminico Kye Hellmers Name of Third-Party Respondent Clifford Mastricola REPRESENTATION OF PARTIES For Craig Birkelbach ("Birkelbach"), hereinafter referred to as "Claimant": Dan A. Druz, Esq., Manasquan, New Jersey. For Respondents The Boston Gr

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Thomas J. Geisse and 99-00807 Indianapolis, Indiana Name of Respondents Paine Webber, Inc. Richard C. Lenihan REPRESENTATION OF PARTIES Thomas J. Geisse ("Claimant") was represented by Joseph L. Claypool, Esq., Ancel & Dunlap, LLP., Indianapolis, Indiana. Paine Webber, Inc. ("Respondent Paine Webber") and Richard C. Lenihan ("Respondent") were r

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Paul V. Ferraro Case No. 99-00804 Names of Respondents E*TRADE Securities, Inc. Michael A. Schoenberger REPRESENTATION OF PARTIES Claimant Paul V. Ferraro, hereinafter referred to as "Claimant", appeared pro se. For Respondents E*TRADE Securities, Inc. ("E*TRADE") and Michael A. Schoenberger ("Schoenberger"), hereinafter collectively referred to as "Res

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Gary Wetherhold Pamela "P.J." Wetherhold Case No. 99-00802 Name of Respondent Morgan Stanley Dean Witter, Inc. REPRESENTATION OF PARTIES For Gary Wetherhold and Pamela "P.J." Wetherhold, hereinafter collectively referred to as "Claimants": Joel Settembrini, Esq. and Jon L. Swergold, Esq. of Smith Hulsey & Busey, Jacksonville, Florida. For

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Eduardo Acuna, (Claimant) vs. Robert Cruces, Joseph Crispino, Edward Duffy, Briarwood Investment Counsel, and Hanifen, Imhoff Clearing Corp., (Respondents) Case Number: 99-00799 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Eduardo Acuna ("Acuna"), hereinafter referred to as "Claimant", appeared pro se. Respondent, Robert Cruces ("Cruces"), appeared pro se.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Wheat First Securities, Inc. Name of Respondents Larry Frascelia & David Frascella NASD Case No. 99-00796 Hearing Location: Philadelphia, PA REPRESENTATION OF PARTIES Claimant Wheat First Securities ("Claimant"): Brian A. Carlis, Esq., Stark & Stark, Princeton, New Jersey. Respondents Larry Frascella & David Frascella ("Respondents"): Nino V. Tinari, Es

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Pat Murphy, Claimant v. Dan Ostad, David Sayid, Fritz Capria, and Investors Associates, Respondents Case Number: 99-00788 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondent Dan Ostad: For Respondent David Sayid: Respondent Fritz Capria: For Respondent Investors Associates: Pat Murphy In Pro Per Pacific Palis

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Olde Discount Corp., Claimant vs. Michael C. Stamatellos, Respondent. Case Number: 99-784 Hearing Site: Detroit, Michigan - Simplified Arbitration REPRESENTATION OF PARTIES Claimant, Olde Discount Corp. "Claimant": Michael P. Knittel, Esq., Olde Discount Corp., Detroit Michigan. Respondent, Michael C. Stamatellos, "Respondent": did not appear. CASE INFORMATION Statement of Cla