N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 00095 Farsight Financial Services, L.P., claimant vs. Luyen Daotien, respondent. ATTORNEYS: Claimant appeared Curtis E. Kitfleson - Cambridge, MA. Respondent did not appear. DATE FILED: 1/9/98 CASE SUMMARY: Claimant alleged a debit balance in a trading account. Claim Data Award Data Claim: $2,428.78 Award: $2,428.78 Interest: Requested Interest: At prevailing margin rate from 8/6/97 to date of payme

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Richard and Susan Bagwell, individually and as Trustees Richard and Susan Bagwell Living Trust and j 98-00093 Scottsdale, Arizona Name of Respondents Foresight Analysts, Inc. Daniel M. I sard Deborah Isard Capital Analysts, Incorporated Fortis Investors, Inc. [-.->•._. Royal Alliance Associates, Inc. .....; A?; REPRESENTATION OF PARTIES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Case Number: 98-00090 Northeast Securities, Inc., (Claimant) vs. Quest Capital Strategies, Inc. David Chen Yu, Richard Skinner, Joyce Lubbers, and Carolyne Yu, (Respondents) consolidated with: Case Number: 01-02217 Carolyne Yu, (Claimant) vs. Northeast Securities, Inc., (Respondent) consolidated with: Case Number: 01-02275 David Chen Yu, (Claimant) vs. Northeast Securiti

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant BlancaV. DePaolo and Case Number 98-00089 Names of Respondents Paine Webber, Inc. and Elam W.Wright REPRESENTATION OF PARTIES Blanca V. DePaolo (hereafter referred to as "Claimant") was represented by James R. Marlen, Esq. of The Law Office of James R. Marlen, located in Dallas, Texas. Paine Webber, Inc. and Elam W. Wright (hereafter collectively referred t

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds, Inc. Case No. 98-00088 Names of Respondents Ed Lauron Amelia Jose Jubilee & Co. REPRESENTATION OF PARTIES For Claimant: Jon Jacobson, Esq., Steel Hector & Davis LLP, West Palm Beach, Florida. Respondents Ed Lauron ("Lauron"), Amelia Jose ("Jose") and Jubilee & Co. ("Jubilee")(herein collectively referred to as "Respondents") di

AWARD NASD Regulation, Inc. In the Matter of the ArbitrationBetween Name of Claimants ReathaM. Swanagan; Leonard Gene Swanagan; and Talmadge F. Swanagan 98-00087 Name of Respondents Olde Discount Corporation; and Anthony Ducato REPRESENTATION For Claimants: Reatha M. Swanagan; Leonard Gene Swanagan; and Talmadge F. Swanagan ("Swanagan" or "Claimants") were represented by Daniel A. Edelman, Esq. and Sheila A. O'Laughlin, Esq., of

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Commonwealth Associates 98-00081 Name of Respondents HughD. Bellingreri John P. Paradise REPRESENTATION For Claimant Commonwealth Associates ("Claimant") appeared Richard A. Campanella of Commonwealth Associates located in New York, New York. Respondent Hugh D. Bellingreri ("Bellingreri") appeared pro se. Respondent John P. Paradise ("Paradise") app

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Catherine M. Mainini IRA, Claimant v. First Security Van Kasper and Brian Olton, Respondents r- 01-01754 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant Catherine M. Mainini IRA: Anthony M. Englese, Esq. Law Offices of Anthony M. Englese San Francisco, California For Respondent First Security Van Kasper: For Respondent Brian O

NASD AWARD i i NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant .,-- Arthur M. Wein Alice F. Wein Case Number and 93-00075 Name of Respondent Investors Associates, Inc. Torin G. Greenspan William M. Cutrone Troy V. Wren Frank H. DiCarlo Robert N. Conforte, Jr. REPRESENTATION OF PARTIES For Arthur M. Wein and Alice F. Wein ("Claimants",) appeared S. Herman Klarsfeld, Esq. a sole pract

DEC. 19. 1998 l:03PM NflSD REGULfiTION FL ISO. 754 p. 12 N.A.S.D. REGULATION, tNC. AWABD NASD Relation, Inc., Office of Dispute Resolution In the Ms Lter of the Arbitration Between Name of •ff'aimant _? Shirley Carey i 98-00074 Names oi ^Respondents La Jolla Capital Corporation Harold B^tey Gallison Michael liiic Dudley Gregory .tan Hilsenrath REPRESENTATION For Clairgoit: Morris J. Levin, Esq. of Washington, DC. For Responde