Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard G. Bell and Danielle Stanton, Claimants v. Prudential Securities, Inc., Robert J Filderman, and Gene Ingargiola, Respondents Case Number: 99-04338 Hearing. Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Robert A. Uhl, Esq. and Philip M. Aidikoff, Esq. Aidikoff & Uhl Beverly Hills, California For Respondents; Terry Ross, Esq. and Ja

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Eric L. Goldstein, (Claimant) vs. Joseph Visconti, Joseph Charles and Company, Inc., and Joseph Charles & Associates, Inc., (Respondents) vs. Michael Wainstein, (Third-party Respondent) Case Number: 99-04334 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Eric L. Goldstein, hereinafter referred to as "Claimant": Thomas J. Fleming, Esq. and Kenneth J. Rubenstei

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Thomas L. Hodges, Claimant v. Lloyd Wade Securities, Inc., Manny Bello, Frank Cardone, Richard Williams and Richard LaGreca Case Number: 99-04331 Hearing Site: Charlotte, North Carolina REPRESENTATION OF PARTIES For Thomas L. Hodges, hereinafter referred to as "Claimant": Dan A. Druz, Esq., Manasquan, New Jersey. For Lloyd Wade Securities, Inc. ("Lloyd Wade"): David E. Gra

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sanford C Fries v. Piper Jaffray, Inc., Richard E. Dye and Alisa M. Rakoz Case Number: 99-04330 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Jonathan W. Evans Jonathan W. Evans & Associates 12711 Ventura Boulevard Suite 440 Studio City, CA 91604 For Respondent Mark S. Reed Piper Jaffray Inc.: U.S. Bancorp Piper Jaffray Inc.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Semyon Varshavchik, (Claimant) vs. E*Trade Securities, Inc., (Respondent) Case Number: 99-04325 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Semyon Varshavchik, hereinafter referred to as "Claimant": Anthony J. Ferrara, Esq., Polstein, Ferrara, Dwyer & Speed, P.C., New York, NY. Respondent, E*Trade Securities, Inc., hereinafter referred to as "Responden

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitral! on B etween Name GaryG.Edler Case No. 99-043 17 Milwaukee, Wisconsin BT Alex. Brown Incorporated; and Jeffrey Alan De Young Claimant Gary G. Edler ("Edler") was represented by Otto K. Hilbert, n, Esq., of Robison, Waters & O'Dorisio, P.C., located in Denver, Colorado. Respondents BT Alex. Brown Incorporated ("Alex. Brown") and Jeffrey Alan De Young ("DeYoung") were repres

rsf STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between John Pascaris and Nancy Pascaris and 99-04314 Detroit, Michigan NatCity Investments, Inc. First of America Brokerage Services, Inc. First of America Securities, Inc. Ernest J. Romer, 111 REPRESENTATION OF PARTIES John Pascaris and Nancy Pascaris ("Claimants") were represented by Anthony V. Trogan, Esq., West Bloomfield, Michigan. NatCity I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harris Holzberg, Claimant v. First Union Securities, Inc., Anthony Cameron and April Thompson, Respondents Case Number: 00-05477 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Daniel Robert Hartley, Esq. Novato, California For Respondents: Peter R. Boutin, Esq. Keesal, Young & Logan San Francisco, California CASE INFORMATION State

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04307 Sung A. Kim and Jung H. Kim, claimants vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimants appeared Pro Se, Morton Grove, IL. Respondent appeared through its Compliance Analyst, Bob Salvador, Palo Alto, CA. DATE FILED: September 21, 1999 CASE SUMMARY: Claimant alleged that respondent failed to check the equity in the account prior to executing a sell order requeste

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04306 An Thi Thuy Truong, claimant vs. Discover Brokerage Direct, Inc., respondent. ATTORNEYS: Claimant, An Thi Thuy Truong, ("Claimant"), appeared Pro Se., Riverside, CA. For Respondent, Discover Brokerage Direct, Inc., ("Respondent"), appeared in-house counsel Judith M. Rosenberg, Esq., San Francisco, CA. DATE FILED: September 21, 1999 CASE SUMMARY: Claimant alleged that she plac