Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Daniel A. Gabriel, (Claimant) vs. Larry A. Heffez, (Respondent) Case Number: 99-04851 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Daniel A. Gabriel, hereinafter referred to as "Claimant": James A. Bush, Esq. > a sole practitioner, Cardiff By the Sea, CA. Respondent, Larry A. Heffez, hereinafter referred to as "Respondent": Robert Melamed, Esq., a s

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert Adams, (Claimant) vs. A.G. Edwards & Sons, Inc. and William Driscoll, (Respondents) Case Number: 99-04848 Hearing Site: Boston, Massachusetts ^PRESENTATION OF PARTIES Claimant, Robert Adams, hereinafter referred to as "Claimant": Anthony P. Alessi, Esq., Concannon Law Offices, Marshfield, MA. Respondents, A.G. Edwards & Sons, Inc. ("Edwards")and William Driscoll ("Drisc

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Vito Solazzo Case No. 99-04847 n Janney Montgomery Scott LLC Bryn Mawr Investment Group, Inc., n/k/a Valley Forge Securities, Inc. Anthony E. Vivino, Jr. nrinoSite- Philadelphia, Pennsylvania op PA KTTFS Claimant, Vito Solazzo ("Solazzo"), hereinafter referred to as "Claimant' 1 : Christopher B. Jones, Esq., Attorney at Law, Scranton, PA. Respondent,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04844 Sandra Eckart, claimant vs. Thomas Johnson and Robert W. Baird & Co., Inc, respondents. ATTORNEYS: For Claimant appeard Mark E. Sanders, Esq. of the firm Hailing & Cayo, Milwaukee, WI. For Respondents appeared in-house counsel Brian D. Trexell, Esq., Milwaukee, WI. DATE FILED. October 27, 1999 CASE SUMMARY: Claimant alleged that respondents made unauthorized transactions — ly

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ernest K. Rotering and Janice M. petering, Claimants vs. OMNI Financial Securities, Inc., formerly known as Diversified Capital Markets, Inc., Quantum Capital Corporation, Michael Patterson, Inc., Thomas T. Daly and Nancy A. Vargo, Respondents. Case Number: 99-04839 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claimants, Ernest K. Rotering and Janice M. R

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Clara S. Cziprusz Case No. 99-04838 Name of Respondent Prudential Securities, Inc. REPRESENTATION OF PARTIES For Clara S. Cziprusz, hereinafter referred to as "Claimant": Scott W. Cichon, Esq. of Cobb Cole & Bell, Daytona Beach, FL. For Prudential Securities, Inc. ("Prudential"), hereinafter referred to as "Respondent": Marci Gold, Vice Presiden

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Henry Miyatake, Claimant v. Centex Securities, Inc. and Terry Lewis, Respondents Case Number: 99-04833 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimant: Peter Shenas Law Offices of Peter Shenas San Diego, California For Respondent Centex Securities, Inc: Steven H. McAvoy Centex Securities, Inc. La Jolla, California For Respondent Terry L

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Allison Venture Partners, Inc., .Claimant v. C1BC World Markets Corporation (fka Oppenheiraer & Company, foe.) and Frank J. Skelly DDL Respondents Third-Party Claim: CIBC World Markets Corporation (fka Oppenheirner & Company, Inc.), Third-Party Claimant v. Walsh Manning Securities LLC, Third-Party Respondent Case Number: 99-04832 Hearing Site: Los Angeles, California REPRE

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04826 William S. Snyder and Joan H. Snyder, claimants vs. Golden Lender Financial Inc. n/k/a J.B.Gibbons and Co., respondent. ATTORNEYS: Claimants appeared Pro Se, Richfield, MN. Respondent did not provide an Answer to the Statement of Claim. DATE FILED: October 26, 1999 CASE SUMMARY: Claimants alleged that the Respondent had sold 1000 shares of Lsi Log and invested the proceed

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Virginia S. Wheeler TTEE FBO The Survivors Trust U/The Robert & Virginia S. Wheeler Rev Tr, Virginia Wheeler TTEE Wheeler Leasing Co Pension Plan UAD 07/11/94, Virginia S. Wheeler TTEE The Ornelas Childrens Trust UAD 05/09/96, Virginia S. Wheeler SSB IRA Rollover Cust. and 00-05518 Phoenix, Arizona Name of Respondents Citigroup Global Markets, Inc. f/