'OCT. 10.1998 1£: 41PM INflSD REGULflTION FL ^ ? i NASD REGULATION, INC. AWARD ' j i NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between C *" r " Name of Claimant i William Michael Malausky Case No. 98-00333 Regions Investment Co, Inc. Eric James Warnfct Burton Arthur Linthicum Barbara Gilbert Rand H. Hinds, Jr. R, Scott Seeley Regions Bank REPRESENTATION The Cl

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Tri-Form Construction, Inc., (Claimant) vs. European Community Capital Ltd., Patrick O'Connor, Tara Casey, Vincent Albanese. and Gregory Small, (Respondents) Case Number: 98-00330 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Tri-Form Construction, Inc., hereinafter referred to as "Claimant": Daniel E. Somers, Esq.. Clemente, Dickson & Mueller, P.A., Morristown. NJ.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 98-00329 / Edmund Cotta, claimant vs. Phillip B. Berg, R. Lance Hicks and Finance 500, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se. - Huntington Beach, CA. For Respondents appeared Jon McClintock - Irvine, CA. DATE FILED: 1/27/98 CASE SUMMARY: Claimant alleged overcharge of commissions and breach of written and oral contracts. Claim Dat

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant--' Norman F. Busse and 98-00322 Name of Respondent Dreyfus Investment Services REPRESENTATION OF PARTIES Norman F. Busse ("Claimant") appeared on his own behalf Dreyfus Investment Services ("Respondent") was represented by Jerry Coughlin of Dreyfus Investment Services Corporation, Pittsburgh, Pennsylvania. CASE INFORMATION Claimant filed the Stateme

JfiN.21.1999 U'lSflM AWARD : " N ° < 553 P ' 19 NASD Regulation, Inc. la the Matter of the Arbitration Between f Bad F. Hill, Jr. 98-00320.. Names Legg Mason Wood Walter, Inc. Howard Weil LaBoutae Fdednchs* Inc. REPRESENTATION For Claimant: L. Jerome Stanley, P.C., Baton Rouge, Louisiana. Fox Respondents Legg Mason Wood Walker, Inc. ("Legg Mason") lad Howard Weil LaBouisse Friedrichs, Inc. ("Howaid Weil"): Thom

flPR.14.1999 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Evelyn J. Fetcho 98-00317 Name of Respondent Liberty Securities Corporation REPRESENTATION For Claimant Evelyn J, Fetcho ("Claimant"); Kalju Nekvasil, Esq. and Stephen Krosschell, Esq. of Goodman & Nekvasil, P.A., Clearwater, Florida, For Respondent Liberty Securities Corporation ("Respondent"): LynnetteE, McGuinness, Esq. of Buchanan I

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Steven Olszewski, Claimant, v. No. 98-00315 PIM Global Equities, Inc., and Erin Meehan, Respondents. REPRESENTATION OF PARTIES Claimant Steven Olszewski ("Claimant") was represented by Delmer C. Gowing, III, Esq. and Robert R. Adler, Esq. of Delmer C. Gowing, III, P.A. located in Delray Beach, Florida. Respondent PIM Global Equities, Inc. ("

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Thomas R. Scott as Trustee for the Thomas R. Scott Trust and Bonnie K. Scott, as Trustee for the Bonnie K. Scott Trust vs. 98-00312 Name of Respondents Dean Witter Reynolds Inc. William Schramm REPRESENTATION Claimants Thomas R. Scott, as Trustee for the Thomas R. Scott Trust and Bonnie K. Scott, as Trustee for the Bonnie K. Scott Trust, ("Clai

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-05432 Summit Financial Services Group, claimant vs. Robert S. Rosch and Phyllis F. Rosch, respondents. ATTORNEYS: Claimant appeared through its Vice President, Christopher Maurer: Bethlehem, PA. Respondents appeared pro se: Summit, NJ. DATE FILED: December 7, 2000. CASE SUMMARY: Claimant alleged that in an attempt to transfer Respondents mutual fund account to Merrill Lynch, th

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Robert A. Weiss, MD vs. 98-00311 Name of Respondent Investors Associates, Inc. Michael DiFrancesca Glenn Edward Lavender REPRESENTATION Claimant Dr. Robert Weiss ("Claimant") was represented by Dickee M. Howard, Esq., Howard Butler & Melfa, Towson, Maryland. Respondent Glenn Edward Lavender ("Lavender") was represented by Robert Bertsch, Esq., P