Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pearl Chu and Jim W. T. Chu (Claimants) vs. Citigroup Global Markets, Inc, Julia H. Chiu and Henry Gotlob (Respondents) Case Number:04-00163 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Pearl and Jim W.T. Chu ("Chu") hereinafter collectively referred to as "Claimants: Adolph D. Seltzer, Es

N.A.S.D* AMASD ASSQCXKEXCH 09 SBCCRITIES In the Matter of the Arbitration Between Matae of Clafoant Danny J. Marsh 91-02952 flame, Qfjj|Bgegflmta Ferris, Baker Watts, IDC. Alan Goldstein Glaissant Douay J. warsn ("Claimant") was represented by Michelle Barnes, Attorney at Law. Ferris, Baker Watts, Inc, ("Ferris") and Alan ^•'4°*'*'l" ("Goldstein"} collectively referred to aa Respondents were represented by Ibaodora W. Utfcan, General

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between / Norman H. Jasper TTEE The Jasper Trust ; i Claimant ; vs. ; CASE* 91-02947 ; AWARD Shearson Lehman Brothers, Inc. ; / Respondent ; / CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 23 , 1991, claimant Norman H, Jasper, TTEE for the Jasper Trust who appeared pro se, alleged

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02247 George H. Bane, claimant vs. Ameritrade, Inc., respondent. ATTORNEYS: Claimant appeared pro se., Delray Beach, FL. For Respondent appeared James J. Vihstadt, Regulatory Counsel, Bellevue, NE. DATE FILED: May 1, 2001 CASE SUMMARY: Claimant alleged that respondent improperly charged his account $1,687.50 due to a short position of 9,000 shares of Honeywell stock. Claimant maint

N.A.S.D. AWARD ASSQCIAT1CN OF SECURITIES DEALERS In the Matter of the Arbitration Between Q£ Robert aTv * namrtaffft Peck — - "^*- 91-02946 Q£ -Rache Securities Inc., now panadfintial Securities Incorporated; Robbie DeRooy ^^a^TTttT^t•J^/fVll^^^^tt^••Pagpnffirforl^ff« Robert s" 1 ^ fTanrfana Peck WBTB by Robert Peck. For T7rnpnnrtrnt"n/ < ^ r ' |Tr| ^ pT '~ rr ^ a ^

e N.A.S.D. AWARD NKTICNMi ASSOCIKTICN OF SECDRJTIES DEALERS In the Matter of the Arbitration Between Q£ f^ Nonnan and Harriett Schranm 91-02944 Hame of Heaprnrimts Merrill Lynch Pierce Feoner & arith, Inc. Claimants **~rrrrm and Harriett Schranm ("Claimants") were represented by Charles LaSata, Esq. of Globensky, Gleisa, Bittoer & Hyrns, F.C. Respoodents Merrill Lynch Fierce Famer & E^frfry Inc. and Robert Sprin^DBn (•Bespcndmts*) were r

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ; / James S. Rice ; / Claimant ; vs. ; CASE #91-02943 AWARD Linda Dowd ; / Respondent ; CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 23, 1991, claimant James S. Rice who appeared pro se, alleged that Respondent Linda Dowd misled him into purchasing 1,000 shares of National Media Cor

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between James P. and Eileen A. Goulette, JTWROS Claimant vs. Chuck Barker Hibbard Brown & Co. , Inc. Respondents CASE #90-02471 AWARD CASE SUMMARY James P. and Eileen A. Goulette, in a claim filed with the National Association of Securities Dealers, Inc. on September 6, 1990, alleged that Respondent Chuck Barker, a registered representative with Hib

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00170 The Marilyn Eisenberg Revocable Trust, Benjamin P. Eisenberg and Marilyn Eisenberg, Trustees, Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant, The Marilyn Eisenberg Revocable Trust, Benjamin P. Eisenberg and Marilyn Eisenberg, Trustees ("Claimant"), appeared Jeffrey B. Kaplan, Esq., Dimond Kaplan & Rothstein, P.A., Miami, FL. For Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer & Co., Inc., (Claimant,) vs. Brett Spindler (Respondent) Case Number: 04-00169 Hearing Site: New York, New York. Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant Oppenheimer & Co. Inc., hereinafter referred to as "Claimant": Michael J. McAllister, Esq., Satterlee Stephens Burke & Burke LLP, New York, NY. Respondent Brett Spindler