N.A.S.D. AWARD NATIONAL ASSOCL4TION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Noel M. and Esther Darden 96-00811 Olde Discount Corporation Steven A. Solano REPRESENTATION The Claimants appeared pro se. For Respondents: Julie D. Reed, Esq., in-house counsel at Olde Discount Corporation. CASE INFORMATION Statement of Claim filed on: February 23, 1996. Amendment to Statement of Claim filed on: Marc

N.A.S i) AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Fernando and Bette Terneus 96-00810 CASE SjjVIMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 23. 1996, CLimants Fernando and Bette Terneus ("Claimants"), who appeared Pro Se. alleged that Respondent J.C. Bradford & Co. ("Bradford") misrepresented PLM Equipment Growth Fund IV ("PLM") as a safe, conservative investment, and completely failed to explain t

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-05419 Ameritrade, Inc., Claimant vs. Suzanne Farese, Respondent. ATTORNEYS: For Claimant appeared James Vihstadt, Esq., Ameritrade, Inc., Bellevue, NE. Respondent did not respond to the Statement of Claim. DATE FILED: December 6, 2000 CASE SUMMARY: Claimant alleged Respondent purchased stocks on margin. After liquidating stocks in her account, she incurred a debit balance which sti

N.A.S.D. REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant 96-00807 Name of Respondents Carlyle International Securilies Carlyle USA, Inc. REPRESENTATION For claimant Corey Owens ("claimant") appeared Joseph E. Gasperetti, Esq. a sole practitioner located in New York, New York. A representative for respondents Carlyle International Securities ("CIS") a

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Ralph Girafalco 96-00804 Name of Respondents Smith Barney, Inc. Anthony Snaith REPRESENTATION Claimant Ralph Girafalco ("Claimant") was represented by Frank J. Williams, Esq., O'DonneH, Hagner & Williams, Paoli, PA. Respondents Smith Barney, Inc. ("SB") and Anthony Snaith ("Snaith") were represen

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Robert (label and 96-00803 Name of Respondent Century Investors of America. Inc. Hollv E, Hotirm REPRESENTATION OF PARTIES Robert Gabel ("Claimant") was represented by Andrew C. Littman, F,sq., Stevens, Littman & Biddison. L.L.C.. Boulder. Colorado. Century Investors of America. Inc. ("Respondent Century") and Holly E. Iloti

OCT.17,,1998 5:iSPM NflSD REGLJLflTION FL NO,984 P. 13 N,A,S.D. REGULATION INC. AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Frank and Patricia I, Musolino 96-00799 Names _of_ResT>QJidents Kidder, Peabody & Co., Incorporated Lee Rosen REPRESENTATION For Claimants: William J. Schifino, Jr., Esq. and Kenneth G, Turkel,Esq, of Williams Reed Weiostein Schifino & Mangi,

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION ARBITRATION AWARD NASD REGULATION. INC. - OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Amervest Capital. Inc. Name of Respondent WS Clearing, Inc. NASD Regulation, Inc. Office of Dispute Resolution Arbitration No. 96-00796 REPRESENTATION For Claimant: For Respondent: Statement of Claim filed: CASE INFORMATION Claimant's Submis

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Reston Association 96-00795 Name of Respondents Fletcher Haydcn Bookout Prudential Securities, Inc. REPRESENTATION For Claimant Reston Association ("Claimant"): Daniel A. Ball, Esq. of the law firm of Lewis, Goldberg & Ball, P.C., McLean, VA For Respondent Prudential Securities, Inc. ("PSI")- Christopher F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anna Pinto 96-00790 Name of Respondents Redstone Securities, In:. Camelot Investment Corp. Patrick Ogadi Robert Prisco REPRESENTATION For claimant Anna Pinto ("claimant") appeared Gregory S. Goodman, Esq., of the law firm Goodman & Goodman located in Mount Sinai, New York. All claims against respondents Redstone Sec