NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04648 The Foosaner Family Trust DTD 5/3/93, claimant vs. Frank Varsalona and Vic Lessinger, respondents. ATTORNEYS: For Claimant, The Foosaner Family Trust DTD 5/3/93, ("Claimant") appeared Arthur Foosaner, Irvine, CA. For Respondent, Vic A. Lessinger, ("Lessinger"), appeared Stavroula E, Lambrakopoulos of the firm Kirkpatrick & Lockhart LLP, Washington, DC. Respondent, Frank J

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between David L. Vickery and 00-05209 Southfield, Michigan LifeUSA Securities, Inc. REPRESENTATION OF PARTIES David L. Vickery ("Claimant") was represented by Joseph H. Spiegel, Esq., Ann Arbor, Michigan. LifeUSA Securities, Inc. ("Respondent") was represented by Bradlee Karan, Esq., Minneapolis, Minnesota. CASE INFORMATION The Statement of Claim was filed on or abo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04647 GKN Securities Corp., Claimant vs. John S. Toomey, Respondent. ATTORNEYS: For Claimant GKN Securities Corp., ("Claimant"), appeared in-house counsel, Herbert O. Sontz, New York, NY. Respondent John S. Toomey ("Respondent"), did not respond to the Statement of Claim. DATE FILED: October 14, 1999 CASE SUMMARY: Claimant alleged that Respondent breached their contractual obligati

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Ellis E. Halperin Case No. 99-04645 Name of Respondents J. C. Bradford & Co. (n/k/a PaineWebber, Inc.) Seward Anderson Michael A. Payne REPRESENTATION OF PARTIES Claimant Ellis S. Halperin ("Claimant") was represented by Charles W. Austin of the law firm of C.W. Austin, P.C., Richmond, VA. Respondents PaineWebber, Michael Payne an

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John Dowd, (Claimant) vs. Morgan Grant Capital Corp., (Respondent) Case Number: 99-04635 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, John Dowd, hereinafter referred to as "Claimant", appeared pro se. Respondent, Morgan Grant Capital Corp., hereinafter referred to as "Respondent", did not make an appearance in this matter. CASE INFORMATION State

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bruce Orenstein, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith Inc. and Linda Houston, (Respondents) Case Number: 99-04630 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Bruce Orenstein, hereinafter referred to as "Claimant": Joel E. Davidson Esq., Law Office of Joel E. Davidson, Esq., P.C, New York, NY. Respondents, Merrill Lynch, Pierce, Fenn

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Steve Carlson Case No. 99-04620 Names of Respondents Olde Discount Corporation William Rich REPRESENTATION OF PARTIES For Claimant: Steele T. Williams, Esq. of Groner, Schieb & Williams, Sarasota, FL. For Respondents Olde Discount Corporation ("Olde") and William Rich ("Rich"): Donald P. Wray, Jr., Esq., Assistant Vice President and Corporate At

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04610 Sofia L. Dulay, claimant vs. Fidelity Investments a/k/a Fidelity Brokerage Services, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se., Encino, CA. For Respondent appeared in-house counsel, Richelle S. Kennedy, Esq., Boston, MA. DATE FILED: October 12, 1999 CASE SUMMARY: Claimant alleeed that resoondent erroneouslv filled two limit orders for 20 contracts of AOL Sept

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-4609 Joseph H. Green, Claimant vs. Fifth Third Securities, Inc., Respondent. ATTORNEYS: Claimant, Joseph H. Green, ("Claimant"), appeared Pro Se, Muskegon, MI. Respondent, Fifth Third Securities, Inc., ("Respondent"), appeared through its Compliance Officer, John L. McDaniel, Cincinnati, OH. DATE FILED: October 12, 1999. CASE SUMMARY: Claimant alleged that he bought 9,971 shares of

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04608 Todd Wong, claimant vs. Vanguard Brokerage Services Inc., a division of Vanguard Marketing Corporation, respondent. ATTORNEYS: Claimant, Todd Wong, ("claimant"), appeared Pro Se., Pokfulam, Hong Kong. For Respondent, Vanguard Brokerage Services, Inc., a division of Vanguard Marketing Corporation, ("Respondent"), appeared Pauline C. Scalvino, Esq. Valley Forge, PA. DATE FILED