NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:99-04749 Olde Discount Corporation, claimant vs. All Khalife, respondent ATTORNEYS; For claimant Olde Discount Corporation appeared, Aaron L. Kleid, Esq. in-house counsel, Detroit, MI. Respondent Ali Khalife did not respond to the statement of claim. DATElFILED: October 20, 1999 CASE SUMMARY: Claimant alleged tliat shares of Franklin Government Securities Fund were deposited into r

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: Q9-04747 Sepehr Amiri, claimant vs. Discover Brokerage Direct, Inc., respondent. ATTORNEYS: Claimant, Sepehr Amiri appeared Pro Se. ? Santa Monica, CA Eor Respondent Discover Brokerage Direct Inc , appeared Judith M. Rosenberg, Esq., in house counsel, San Francisco, CA DATE FILED: October 20, 1999 CASE SUMMARY: Claimant alleged transactional errors by respondent regarding his

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-04744 The Joseph D. Gee & Lynn Gee Trust, claimant vs. Discover Brokerage Direct, Inc., n/k/a Morgan Stanley Dean Witter Online, Inc., respondent. ATTORNEYS: For Claimant Joseph D. Gee & Lynn Gee Trust ("Claimant"), Joseph D. Gee, Barstow, California. For Respondent Discover Brokerage Direct n/k/a Morgan Stanley Dean Witter Online, Inc. ("Respondent"), app

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names Of Claimante Angelo and Maria Lorenzo Case No. 99-04737" Names of Respondents Legg Mason Wood Walker, Inc. Gary Ronald Price David Franklin REPRESENTATION OF PARTIES For Angelo and Maria Lorenzo, hereinafter referred to as "Claimants": Russell C. Silverglate, Esq. of Dickenson, Murdoch, Rex, & Sloan, Boca Raton, Florida. K^C f D For Legg Mas

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Stifel, Nicolaus & Company, Inc., (Claimant) vs. Calvin Theus, (Respondent). Case Number: Hearing Site: 99-04733 Clayton, Missouri REPRESENTATION OF PARTIES Claimant, Stifel, Nicolaus & Company, Inc. ("Stifel"), hereinafter referred to as "Claimant": Rebecca Whitehouse, Esq., Law Office of Rebecca Whitehouse, Austin, Texas. Respondent, Calvin Lynn Theus ("Theus"), here

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Gloria Hunt Allen and 99-04727 Tucson, Arizona Name of Respondents FFP Securities, Inc. Conrad Thomas Corcoran Catalina Investment REPRESENTATION OF PARTIES Gloria Hunt Allen ("Claimant") was represented by J. Emery Baker, Mesch, Clark & Rothschild, P.C., Tucson, Arizona. FFP Securities, Inc. ("Respondent FFP"), Conrad Thomas Corcoran ("

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Larry P. Ellefson, Claimant v. Prudential Securities, Inc., National Securities Corporation and Thomas W. Wickersham, Respondents. Case Number: 99-04725 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimant: Charles Ferguson, Esq. Seattle, Washington For Respondent Prudential Securities, Inc.: Martin Hunger, Esq. Prudential Securities, Inc

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Jerome Alfred Serwas and Anna Jacquette Serwas Case No. 99-04720 Name of Respondent Ameritrade, Inc. REPRESENTATION OF PARTIES For Jerome Alfred Serwas and Anna Jacquette Serwas, hereinafter referred to as "Claimants": Stephen D. Spivey, Esq., Ocala, FL. For Ameritrade, Inc. ("Ameritrade"), hereinafter referred to as "Respondent": James J.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Vladimir Oterin and Viktor Pesok, (Claimants) vs. Vincent Ralph Landano, William Anthony Mancusi, Ira Paul Bader, U.S. Trading Corp., Michael Rozenstheyn, Gary Chistopher Snisky, and Penson Financial Services, Inc., (Respondents) Case Number: 99-04718 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Vladimir Oterin and Viktor Pesok, hereinafter collectivel

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Nationwide Investment Services Corp. Case No. 00-05508 Name of Respondent Clark Samuel Hartline, Jr. Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Nationwide Investment Services Corp. ("Nationwide"), hereinafter referred to as "Claimant": Robert P. Riordan, Esq. and Lisa M. Durham, Esq. of Alston & Bird LLP, Atlanta, Georgia.