N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00592 Katheryn Pooley Lachman, claimant vs. Brown & Company Securities Corp., respondent. ATTORNEYS: Claimant, Katheryn Pooley Lachman, appeared Pro Se., Belvedere, CA. Respondent, Brown & Company Securities Corp., appeared through its General Counsel, Barry S. Fischer, Esq., Boston, MA. DATE FILED: 2/10/99 CASE SUMMARY: Claimant alleged that respondent fa

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joseph E. Ridella and Linda Ridella v. OLDE Discount Corporation and Robert M. Dietrich Case Number: 99-591 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimants, Joseph E. Ridella and Linda Ridella, hereinafter collectively referred to as "Claimants": Laurence S. Schultz, Esq., Troy, Michigan. Respondents, OLDE Discount Corporation n/k/a H&R Block Financial

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Estate ol Marie Wise (Claimant) v. Michael W. Patterson, Andrew M. Ankrim and Eric L. Puffenberger (Respondents). Case Number: 00-03319 Hearing Site: Cleveland, Ohio. REPRESENTATION OF PARTIES Charles M. Murray, Esquire, of Murray and Murray Co., LPA, Sandusky, Ohio, represented Claimant, the Estate of Marie Wise ("Wise"). Earle R. Frost, Jr., Esquire, of Frost & Danch

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Diane Bickerstaff v. OLDE Discount Corporation and Benjamin G. Geller Case Number: 99-589 Hearing Site: Detroit Michigan REPRESENTATION OF PARTIES Claimant Diane Bickerstaff ("Bickerstaff), hereinafter referred to as "Claimant": Laurence S. Schultz of Driggers, Schultz & Herbst, located in Troy, Michigan. Respondents, OLDE Discount Corporation ("OLDE") and Benjamin

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Sol H. Proctor Case No. 99-00580 Name of Respondent Dean Witter Reynolds, Inc. REPRESENTATION OF PARTIES Sol H. Proctor, hereinafter referred to as "Claimant", appeared pro se. For Dean Witter Reynolds, Inc. ("Dean Witter"), hereinafter referred to as "Respondent": Bradford D. Kaufman, Esq. and Joseph C. Coates, III, Esq. of the law firm of Greenber

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Kurt O. Blumenthal and Karin A. Blumenthal (Claimants) vs. Everen Securities n/k/a First Union Securities, Inc. and Richard Mele (Respondents). Case Number: 99-00579 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimants Kurt O. Blumenthal and Karin A. Blumenthal ("Claimants"): Lawrence M. Landsman, Esq. Block and Landsman, Chicago, Illinois. Respondent. Everen Securi

N.A.S.D. REGULATION AWARD NATIONAL A^gOCIAiyON Off ftECUKITTES DEALERS REGULATIpN. INC. CASE: 99-0057$ Stifel, Nico aus & Co., Inc., claimant vs. Thomas York, respondent. ATTORNEYS For Claimant Rebecca S. Respondent DATE FIL tifel, Nicolaus & Co., Inc., appeared L. Chapman Smith, Esq. and Whitehouse, Esq. of the firm, Baker & Botts, L.L.P., Houston, TX. Thomas York, appeared Pro Se., Houston, TX. iD: 02/09/99 CASE SUMMARY

Award ; NASD Regulation,'Inc. In the Matter of he Arbitration Between: Frank C. Forelle Case Number: 99 (Claimant) vs. Citicorp Securities, Inc., (Respondent) -00570 : Hearing Site: New York, New York Claimant, Fran] O'Connor, Esq. REPRESENTATION O39 PARTIES C, Forelle ("Forelle"), hereinafter referred to as "Claimant": Andrew S. New York, NY, Respondent, Cilicorp Securities, Inc. ("Citicorp"), hereinafter referred to as "Res

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Rick D. Pyant Case No. 99-00569 Names of Respondents Roman Sakharovich Thomas Falantano The Golden Lender Financial Group, Inc. REPRESENTATION OF PARTIES For RickD. Pyant. hereinafter referred to as "Claimant": Lawrence J. Bochat, Esq. of the law officesof Lawrence J. Bochat, P.C., Garden City, New York. On February 10, 2000, JblUfcE.i• .< '• •

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: j George Gleser vs. J.E. Liss & Company, Inc. and Dennis Waisman i Case Number: 99-565 Hearind Site: Milwaukee, Wisconsin REPRESENTATION OF PARTIES Claimant, George Gleser, hereinafter referred to as "Claimant": Gabriel Mendelberg, Esq., New York, New York. ! Respondents, J.E. Liss & Company, Inc. ("Liss") and Deinnis L. Waisman ("Waisman"), hereinafter collectively referred t