Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Susan L. Monaco and the Marcia Rose Monaco Supplemental Needs Trust, (Claimants) vs. Marshall D. May, (Respondent) Case Number: 99-04451 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Susan L. Monaco ("Monaco") and the Marcia Rose Monaco Supplemental Needs Trust ("Trust"), hereinafter collectively referred to as "Claimants": Paul R. Williams, Esq., Sc

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Jenifer M Robinson, Individually and as Executrix of the Estate of Robert V. Robinson _ First Allied Securities, Inc. Mildred KBeftz First Affied Securities, Inc. Case No. 99-04441 (Master Case) In the Matter of the Arbitration Between nf Platmant Case No. 99-03828 (Subordinate Case) In the Matter of the Arbitration Between David Hickey and Jean Hick

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Roger Carlsten, (Claimant) vs. Oscar Gruss & Son, Inc. and Broadband Capital Management, LLC, (Respondents) Case Number: 00-05493 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Roger Carlsten, hereinafter referred to as "Claimant": William A. Jacobson, Esq., Kaplan & Jacobson Inc., Providence, RI. Respondent, Oscar Gruss & Son, Inc. ("Gruss"): Robe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04434 San Diego Diagnostic Radiology Medical Group Retirement Trust, claimant vs. Drake & Co., Inc., PaineWebber Inc. & Correspondent Service Corporation, respondents. ATTORNEYS: Claimant San Diego Diagnostic R.M.G. Retirement Trust appeared through its trustee California Bank and Trust f/b/o David Katzman, La Jolla, CA. For Respondent Drake & Company, Inc. appeared in-house counsel, D

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michelle Marano, (Claimant) vs. Randall Gibbs and BTU Brokers, LLC., (Respondents). Case Number: Hearing Site: 99-04432 Houston, Texas REPRESENTATION OF PARTIES Claimant, Michelle Marano ("Marano"), hereinafter referred to as "Claimant": R. Vince Glauser, Esq., Houston, Texas. Respondents. Randall Gibbs ("Gibbs") and BTU Brokers, LLC. ("BTU"), hereinafter collectiv

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: M.C. Keithley, Individually and as Beneficiary of the M.C. Keithley IRA Rollover, Claimant v, Salomon Smith Barney, Inc. and David Scott, Respondents Case Number: 99-04425 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Jonathan W. Evans, Esq. Jonathan W. Evans & Associates Los Angeles, California For Respondents: Etta M. Gumbs, Esq. S

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gene and Pat Aloi, Claimants v. Allen Douglas Securities. Inc., Andrew Melville, Stephen D. Pizzuti, and Larry S. Kase, Respondents Case Number: 99-04424 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: For Respondent Allen Douglas Securities. Inc.: For Respondent Andrew Melville: For Respondent Stephen D. Pisrzuii: For Respondent La

AWARD NASD Dispute Resolution, Inc. ^ In the Matter of the Arbitration Between Name of Claimants Lina L. Estrada and Edmundo Catacutan Estrada and 99-04410 Kansas City, Missouri Name of Respondents Fairchild Financial Group, Inc. formerly known as VTR Capital, Inc. Greg Garson Edward McCune Wallace Conley Lorette D. Farris Gregory T. Souran William G. Goble Felicia A. Antonio David W. Noble Name of Third Party Respond

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04409 Gary Welsh, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant Gary Welsh, appeared Pro Se., Perkiomenville, PA. For respondent E*Trade Securities, Inc. appeared Bob Salvador Compliance Analyst, Menlo Park, CA. DATE FILED: September 28, 1999 CASE SUMMARY: Claimant alleged that respondent's computer system did not recognize the new symbols assigned to R

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Harry B. Pascal, individually and as custodian for Zachary Pascal, Nikki Pascal, and Grant Pascal, (Claimant) vs. Gruntal & Co., L.L.C., (Respondent) Case Number: 99-04402 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Harry B. Pascal, individually and as custodian for Zachary Pascal, Nikki Pascal, and Grant Pascal, hereinafter referred to as "Claimant"