Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Leerink, Swann, Garrity, Sollami, Yaffe & Wynn, Inc., (Claimant) vs. Guaro Coen, (Respondent) Case Number: 99-05166 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Leerink, Swann, Garrity, Sollami, Yaffe & Wynn, Inc., hereinafter referred to as "Claimant": Susan F. Drogin, Esq., a sole practitioner, Boston, MA. Respondent, Guaro Coen, hereinafter re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vitahorn Trading Co. Ltd., (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith Inc., (Respondent) Case Number: 00-05541 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Vitahorn Trading Co. Ltd., hereinafter referred to as "Claimant": John D. Kolenda, Esq., Kolenda & Loomie, LLP, New York, NY. Respondent, Merrill Lynch, Pierce, Fenner & Smith Inc., hereinaft

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Omar N. Grant, (Claimant) vs. Vanguard Marketing Corp. and Norman E. Gilliam Jr., (Respondents) Case Number: 99-05165 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Omar N. Grant, hereinafter referred to as "Claimant", appeared pro se. Respondent, Vanguard Marketing Corp. ("Vanguard"): Pauline C. Scalvino, Esq., Principal and Associate Counsel, Th

Stipulated Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: The Zina Modica Rasulo Revocable Trust 99-05163 Names of the Respondents Hearing Site: Morgan Stanley DW, Inc. and Andrew A. Neff Boca Raton, FL REPRESENTATION OF PARTIES For The Zina Modica Rasulo Revocable Trust, hereinafter referred to as "Claimant": Tim B. Wright, Esq., Wright Ponsoldt & Lozeau, L.L.P., Stuart, FL. . , . For Morgan Stanley DW, I

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant James Seramba Case No. 99-05159 Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. John L. Dozier REPRESENTATION OF PARTIES For James Seramba, hereinafter referred to as "Claimant": Joel E. Davidson, Esq., Law Offices of Joel E, Davidson, Esq., Park Ridge, New Jersey. For Merrill Lynch, Pierce, Fenner & Smith, Inc. ("MLP

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names, of Claimants Charles Brown & Mark Goodman Case No. 99-05158 Names of Respondents John Stacey Boyd Barnett Investments, Inc. LaSalle National Bank REPRESENTATION OF PARTIES For Charles Brown and Mark Goodman, hereinafter collectively referred to as "Claimants": Scott T. Orsini, Esq. of The Orsini & Rose Law Firm, P.A., St. Petersburg, FL. For John Stac

STIPULATED AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Christopher Pettengill and 99-05157 Minneapolis, Minnesota Name of Respondent Berthel Fisher & Company Financial Services, Inc. REPRESENTATION OF PARTIES Christopher Pettengill ("Claimant") was represented by Pace, Esq., Wiese Law Firm, P.A., Minneapolis, Minnesota. Berthel Fisher & Company Financial Services, Inc. ("Respondent") was represen

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Wells Fargo Securities, Inc., Claimant v. Kama! Mansour and Diah S. Thabet, Respondents Case Number: 99-05137 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Howard A. Kipnis, Esq. Hilding Kipnis Lyon & Kelly San Diego, California For Respondents: Catherine L. Bland, Esq. Law Offices of Paul W. Thomas & Associates Carlsbad, Californi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Darwin Kurt Hoop and Brenna Muldavin v. JB Oxford & Company Case Number: 99-05128 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Claimants, Darwin Kurt Hoop and Brenna Muldavin, hereinafter collectively referred to as "Claimants": Michael Huberman, Michael Huberman & Associates, La Quinta, California. Respondent, JB Oxford & Company, hereinafter referred to as "R

Award NASD Dispute Resolution., Inc. In the Matter of the Arbitration Between: The Estate & Testamentary Trusts of Eurilla Marie Herrin Mayerle, Claimant, Vs. Merrill Lynch Pierce Fenner & Smith Inc., and Murray Keith Lake, Respondents. Case Number: 99-05126 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant the Estate & Testamentary Trusts of Eurilla Marie Herrin Mayerle, "Estate of Mayerle" was represented by Frank L. Mauro, E