NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04793 Zheng Xu, claimant vs. Suretrade, Inc., respondents ATTORNEYS: Claimant appeared Pro Se., West Hartford, CT. Respondent appeared through its Assistant Director of Compliance, Yolanda D. Black, New York, NY. DATE FILED: October 25, 1999 CASE SUMMARY: Claimant alleged that respondent erroneously informed him that the short order he placed on December 22, 1998 for UBID was n

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Arthur and Roberta Goldstein, (Claimants) vs. Ryan Beck & Co. and David Stancavish, (Respondents) Case Number: 99-04786 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Arthur Goldstein ("Mr. Goldstein") and Roberta Goldstein ("Mrs. Goldstein"), hereinafter collectively referred to as "Claimants", appeared pro se. Respondents, Ryan Beck & Co. ("Ryan")

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name James E. Deady and James E. Deady Advertising, Inc. 401(k) Profit Sharing Plan and Trust Case No. 99-04779 J.C. Bradford & Co., Branch Cabell & Co., Inc., Bernard A. Davey, III, Martin J. Bannon, III, Read M. Northen, Jr. and Andrew L. May T?epresentfltinn of Parties Claimants James E. Deady ("Mr. Deady") and James E. Deady Advertising, Inc. 401(

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04778 Mylon Vann and Linda Vann, Claimants vs. Merit Capital Associates, Inc. and Richard Alan Warner, Respondents. ATTORNEYS: Claimants appeared Pro Se, Boca Raton, FL. For Respondents, appeared in-house counsel, Robert Fitzpatrick, Esq., Westport, CT. DATE FILED: October 22, 1999 CASE SUMMARY: Claimants alleged that Respondent, Richard A. Warner, fraudulently misrepresented a

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. Case No. 99-04768 Name of Respondent Roy Neil Apple REPRESENTATION OF PARTIES For Prudential Securities, Inc. ("Prudential"), hereinafter referred to as "Claimant": Joseph C. Rosa, Associate Vice President, Assistant General Counsel, Prudential Securities, Inc. until a substitution of counsel on June 9, 2000. Thereafter,

Award NASD Dispute Resolution, Inc. _In -the Matter of the Arhitratinn Between. „ „ Name of Claimant Robert A. Foisie Case NCK 99-04767 Name of Respondent Hearing Site: Boca Raton, Florida Brett S. Borgersen REPRESENTATION OF PARTIES For Robert A. Foisie ("Foisie") hereinafter referred to as "Claimant": Lawrence P. Brodie, Esq., Brodie and Pawluc, Stuart, Florida. For Brett S. Borgersen {^BorgersepfXhereinafter referred to as "Respondent": R

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant David C. Doll vs. Case No. 99-04764 Name of Respondent Keystone Brokerage, Inc. REPRESENTATION OF PARTIES Claimant, David C. Doll, hereinafter referred to as "Claimant": S. Francis Baldwin, Goldberg, Katz, Sadowski & Stansen, St. Louis, Missouri Respondent, Keystone Brokerage, Inc., hereinafter referred to as "Respondent": Mark D. Bradshaw, Esq., Eckert

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between The Estate of Ruth R. Hail, Claimant Case No. 99-04757 PaineWebber, Inc. William L. Crull, IV, Respondents Hearing Location: Washington, DC REPRESENTATION OF PARTIES Claimant, the Estate of Ruth Hall (Hall Estate), was represented by Marc B. Dorfman, Esq. formerly of the law firm of Freedman, Levy, Kroll & Simonds, Washington, DC and currently of the law fir

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Regal Discount Securities, Inc., (Claimant/CounterRespondent) v. James Allgeier, (Respondent/CounterCIaimant) Case Number: 00-05509 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimanl/CounterRespondent Regal Discount Securities, Inc. ("Regal Discount"): Nicholas lavarone and Thomas E. Sarikas. Esq. of the law firm of Bellows and Bellows, P.C. located in

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jon Maresca and Elizabeth Maresca, Claimants v. May Davis Group, Inc., Gregory Mack, and Wayne Coy, Respondents. Case Number: 99-04753 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Elizabeth Lowery, Esq. Fields, Fehn & Sherwin Los Angeles, California For Respondents: Adam L. Goldberg, Esq. The Law Offices of Adam J. Goldberg N