AWARD NASD Regulation, Inc. CASE: 99-00280 Charles Schwab & Co., Inc., claimant vs. Hilda M. Adriasola and Michael Malki, respondents. ATTORNEYS: For Claimant appeared in-house counsel, Devin A. Donohue, Esq., San Francisco, CA. Respondent Hilda M. Adriasola appeared Pro Se, San Francisco, CA. Respondent Michael Malki appeared Pro Se, Pleasanton, CA. DATE FILED: January 21, 1999 CASE SUMMARY: Claimant alleged respondents failed to satisfy maintenanc

Aware NASD Regulat In the Matter of the Arbitration Between: Elinor A. Conroy, Claimant v. Charles Schwab & Case Number: 99-00277 >n. Inc. o., Inc., Respondent. fearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondent: Elinor A. Conroy In Pro Per Aliso Viejo, California Gregory Scanlon, Esq. Charles Schwab & Co., Inc. San Francisco, California CASE INFOR1VLATION Statement of

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Alfred and Deborah Lipshultz Case No. 99-00276 Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Guy James Abbanat REPRESENTATION OF PARTIES For Claimants Alfred and Deborah Lipshultz, hereinafter referred to as "Claimants": Russell L. Forkey, Esq. of Russell L. Forkey, P.A., Fort Lauderdale, Florida. For Respondents Merrill Lynch, Pier

AWARD NASD REGULATION, INC. CASE:99-00266 - Walnut Street Securities, Inc., Claimant vs. Charles Wole Alimi, Respondent. ATTORNEYS: For Claimant Walnut Street Securities, Inc. ("WSS"): Albert S, Watkins, Esq. of Kodner, Watkms, Muchnick & Dunne, L.C., St. Louis, MS, Respondent Charles Wole Alimi ("Alimi") appeared pro se. DATE FILED: January 20, 1999. CASE SUMMARY: WSS alleged the following: in March of 1998, Alimi became affiliated with WSS; th

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Ronald Blakely and Sherry Blakely, Claimants v. Jefferson Pilot Securities Corp.. d/b/a Jefferson Pilot Financial f/Wa Chubb Securities Corp. and Robert Berns, Respondents. Case Number: 99-00265 Hearing Site: Las Vegas. Nevada REPRESENTATION OF PARTIES For Claimants: For Respondent Robert Berns; For Respondent Jejfferson Pilot Securities: Neil J. Beller. Esq. Neil J. B

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: William J. Shaw, (Claimant) vs. Solomon Smith Barney, Inc. (Respondent) Case Number: 99-00264 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, William J. Shaw, ("Claimant"): Bruce L. Dean, Esq.: Karger, Key, Barnes & Springer, Dallas, Texas. Respondent, Solomon Smith Barney, Inc. (f/k/a Smith Barney) ("Respondent"): Victor A. Machcinski, Esq., Solomon Smith

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Nicholas J. Adkins, Claimant v. U.S. Clearing Corporation n/k/a Fleet Securities, Inc.; Hill, Thompson, Magid & Co., Inc. and Pyramid Financial Corporation through its subsidiary Wyse Securities, Respondent Case Number: 00-03274 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES For Claimant: Richard Sacks Investor Recovery Services Two Commercial Blvd. Suit

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Wayne Freeman vs. Kennedy, Cabot & Company Case Number: 99-00263 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant Wayne Freeman ("Claimant")- Leon Jenkins, Esq., Law Offices of Leon Jenkins, Marina Del Rey, California. Respondent Kennedy, Cabot & Company ("Respondent"): John L. Erickson, Jr. Esq., Jones Bell Abbott Fleming & Fitzgerald, Los Angeles, California.

m N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALEEIS REGULATION. INC. CASE: 99-00261 Capital Growth Management, Inc., claimant vs. William Randolph Thatcher, respondent. ATTORNEYS: Claimant Capital Growth Management Inc., appeared through its Chief Executive Officer, Edward C. Bonawitz, Atlanta, GA. Respondent William Randolph Thatcher, appeared Pro Se., Atlanta, GA. DATE FILED: January 20, 1999 CASE SUMMARY: Claimant alleged

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Providence Capital, Inc., (Claimant) vs. Guy Wyser-Pratte. Wyser-Pratte Management Co., Inc., and Wyser-Pratte & Co., Inc., (Respondents) vs. Herbert Demon, (Third-Party Respondent) Case Number: 99-00260 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Providence Capital, Inc. ("Providence"), hereinafter referred to as "Claimant**: David A. Barrett, Esq