Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Jack Diener Case No. 99-04304 Name of Respondents Fahnestock & Co., Inc. Bruce A. Hartzmark Hearing Location: Washington, DC REPRESENTATION OF PARTIES Claimant Jack Diener ("Claimant") was represented by Roger W. Van Deusen, Esq. of the law firm of Chattman Gaines & Stern, P.C., Cleveland, OH. Respondents Fahnestock & Co., Inc. ("Fahnestock"

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Legg Mason Wood Walker, Inc., (Claimant) vs. A. Friesel, (Respondent) Case Number: 99-04302 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Legg Mason Wood Walker, Inc., hereinafter referred to as "Claimant": James E. Goodrich, Esq., Saul, Ewing, Weinberg & Green, Baltimore, MD. Respondent, A, Friesel, hereinafter referred to as "Respondent", did not make an appea

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Noureddin Torkie Tork Case No. 99-04293 Name of Respondent Fidelity Brokerage Services, Inc. Hearing Location: Washington, DC REPRESENTATION OF PARTIES Claimant Noureddin Torkie Tork ("Claimant") represented himself. Respondent Fidelity Brokerage Services, Inc. ("Respondent") was represented by Rochelle S. Hall, Esq., of the law firm of McGuire

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION INC. CASE: 99-04290 Warren M. Brown, claimant vs. Michael Donovan, respondent. ATTORNEYS: For claimant appeared David B. Geurtsen, Esq., of the firm, Conboy, McKay, Bachman & Kendall, LLP., Watertown, NY. Respondent appeared Pro Se, Syracuse, NY. DATE FILED: September 20, 1999 CASE SUMMARY: Claimant alleged that respondent failed to pay him commissions. Claim Data

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04289 Karl H. Koebke, claimant vs. Spelman & Co., Inc. and Donald H. Colapinto, respondents. ATTORNEYS: Claimant appeared Pro Se, Oceanside, CA. For Respondents appeared Cynthia M. Schleindl, Esq., of the firm Miller Milbve & Kob, San Diego, CA. DATE FILED: September 20, 1999 CASE SUMMARY: Claimant alleged that respondents neglected their fiduciary responsibility to properly in

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-4288 Olde Discount Corporation, Claimant vs. Chandra S. Kaliam, Respondent. ATTORNEYS: For Claimant, Olde Discount Corporation ("Claimant"), appeared in-house counsel Aaron L. Kleid, Esq., Detroit, MI. Respondent, Chandra S. Kaliam, (Respondent"), did respond to the Statement of Claim. DATE FILED: September 20, 199? CASE SUMMARY: Claimant alleged that it issued a check to Responden

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04287 Olde Discount Corporation, claimant vs. Donald R. Dynda, respondent. ATTORNEYS: Claimant, Olde Discount Corporation, ("Claimant"), appeared Robert M. Visconti, Detroit, MI. Respondent, Donald R. Dyndra ("Respondent"), did not respond to the Statment of Claim. DATE FILED: September 20, 1999 CASE SUMMARY: Claimant alleged that 100 shares of TA were erroneously issued to Respond

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04286 Richard H. and Carol McCusker, Claimant vs. Citicorp Investment Services, Respondent. ATTORNEYS: Claimants, Richard H. and Carol McCusker ("Claimants"), appeared Pro Se. r Avon, CT. For Respondent, Citicorp Investment Services ("Respondent"), appeared in-house counsel, Donna Daniels, Long Island City, NY. DATE FILED: September 20, 1999 ~~~~ CASE SUMMARY: Claimants all

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John Gerhold and Diane Gerhold, (Claimants) vs. Barren Chase Securities, Inc., Christopher Casdia, First Colonial Securities Group, Inc., First Security Investments, Inc., and Fiserv Correspondent Services, Inc., (Respondents) Case Number: 99-04283 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants John Gerhold and Diane Gerhold, hereinafter collectively refe

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-04280 Centre De Micro-Informatique Appliquee Du Plateau Inc., claimant vs. Wall Street Access, respondent. ATTORNEYS: For Claimant Centre De Micro-Informatique Appliquee Du Plateau Inc. ("Claimant"), Michel Coursol, Montreal, Quebec. For Respondent Wall Street Access ("Respondent"), Joseph A. Mendola, Vice President and General Counsel for Wall Street Acce