NASD DISPUTE RESOLUTION AWARD NASD PUT RESOLUTION. INC. CASE: 99-041 18 Muriel and Marvin Strom, individually and as Trustees of The Marvin Strom Living Trust u/it/d 1/10/8$, and The Muriel Strom Living Trust u/a/d 1/10/89, Claimants vs. Salomon Smith Barney and Eric Applewhite, Rcspondencs. ATTORNEYSr For Claimants, Muriel and Marvin Strom, individually and as trustees ("Claimants"), appeared Mitchell L> Perlstein, Esq. of the Investor's Law Center, Bo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant John Garcia Case No. 99-04115 Names of Respondents Antonio G. Raimo Lawrence A. Zelin Madison Capital Markets Corp. REPRESENTATION OF PARTIES For John Garcia ("Garcia"), hereinafter referred to as "Claimant": Gregory C. Yadley, Esq. and Michael H. Robbins, Esq. of the law firm of Shumaker, Loop & Kendrick, LLP, Tampa, Florida. For Antoni

Award ORIGINAL NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Thomas Tomanek and Angelita Tomanek, Claimants v. LCP Capital Corp. d/b/a Silver Capital Group, Rocco Roveccio and Joseph Quattrochi, Respondents Case Number: 00-05463 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Thomas Tomanek Hayward, California For Respondent LCP Capital Corp. d/b/a Silver Capital Group: Charles S. Stofte

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Luz and Alicia Alvarez Case No. 99-04110 Names of,RespQndepte JW Charles Securities, Inc. n/k/a JW Genesis Securities, Inc. Howard Shapiro * Hearin Site: Boca Raton. Florida REPRESENTATION OF PARTIES For Luz and Aiicia Alvarez, hereinafter referred to as "Claimants"; Lloyd B. Silvennan, Esq., Dsvie, Florida. For JW Charles Securities, Inc. n/k/a J

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joyce Knutson and Neil Knutson, (Claimants) vs. Michael Levine, Michael Verbitsky, Bennett, Mullaney & Co., John Doe, and National Financial Services Corporation, (Respondents). Case Number: Hearing Site: 99-04109 Denver, Colorado REPRESENTATION OF PARTIES Claimants, Joyce Knutson and Neil Knutson, hereinafter collectively referred to as "Claimants": Harvey W. Shaver,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION* INC. CASE: 99-04105 Gary Elman, claimant vs. Mark Vega, and Security Capital Trading, Inc., respondents. ATTORNEYS: Claimant, Gary Elrnan ("Claimant"), appeared Pro Se,, Manalapan, NJ. For Respondents, Mark Vega, and Security Capital Trading, Inc. (collectively "Respondents"), appeared A. Joseph Tandet, Esq., New York, NY. DATE FILED: September 7, 1999 CASE SUMMARY: Claimant alleged that he plac

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04104 Carl Friedman, claimant vs. Everen Securities, Inc., n/k/a First Union Securities, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se., Reno, NV. For respondent appeared in house counsel, Bruce Lewitas, Esq., Chicago, IL. DATE FILED: September 7, 1999 A T>V- Living Trust accounts which were inconsistent with his investment objective.. Claimant further alleged t

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Michelle Toneff Case No. 99-04103 Name of Respondent Ameritrade, Inc. REPRESENTATION OF PARTIES Michelle Toneff, hereinafter referred to as "Claimant", appeared pro se. For Ameritrade, Inc. ("Ameritrade"), hereinafter referred to as "Respondent": James J. Vihstadt, Regulatory Attorney, Ameritrade. CASE INFORMATION Statement of Claim filed on

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04089 Casey Baum, claimant vs. DLJ Direct, Inc., respondent. ATTORNEYS: Claimant, Casey Baum, appeared Pro Se., New York, NY. For respondent DLJ Direct, Inc., appeared Caroline K. Hall, Esq. of the firm Roseman & Colin LLP, New York, NY. DATE FILED: September 8, 1999 CASE SUMMARY: Claimant alleged that respondent defrauded him into opening a DLJ Direct, Inc. ("DLJD") account by

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Sidney Myers, (Claimant) vs. Shufro, Rose & Co., LLC, Fred Ehrman, and Steven J. Glass, (Respondents) Case Number: 99-04086 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Sidney Myers, hereinafter referred to as "Claimant": David J. Rabbach, Esq., Faust, Rabbach & Oppenheim, LLP, New York, NY. Respondents, Shufro, Rose & Co., LLC ("Shufro")