NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04555 Ameritrade Inc., claimant vs. Brad Daniel Clarke, respondent. ATTORNEYS: For claimant Ameritrade Inc., appeared Eric E. Hamilton Esq., in-house counsel, Bellevue, NE. For respondent Brad Daniel Clarke, appeared Daniel R. Kirshbaum of the firm Axelrod, Smith & Kirshbaum, Houston, TX. DATE FILED: October 7, 1999 CASE SUMMARY: Claimant alleged that respondent ordered the sal

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Fordham Financial Management, Inc., (Claimant) vs. Jason I. Sidelman, (Respondent) Case Number: 00-05200 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Fordham Financial Management, Inc., hereinafter referred to as "Claimant": Barry R. Lax, Esq., Goldstein & Digioia, LLP, New York, NY. Respondent, Jason I. Sidelman, hereinafter referred to as "Respondent"

NASI> DISPUTE RESOLUTION AWARD CASE: 99-44552 Alan Kii*chenba\sm, Florence Kirsclienfc.ium, and Lisa Kirscheribaum, claimants vs. Jeffrey Jerome, Dwight Campbell, anil Noble Investment Company n/k/a Noble International Investments, Inc., respondents. ATTORNEYS: Claimants appeared through Alar* Kirscb;nbaum t sprues, FL. For Respondents Jeffrey Jerome, Dwight Campbell and NoWe Investment Company n/k/a Noble International Investments, Inc., appear

NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants John M. and Nelwyn Ross 96-04088 Name of Respondent Josephthal, Lyon & Ross, Inc. REPRESENTATION OF PARTIES For Claimants: Christopher J. Christie, Esq. of the law firm of Dughi and Hewtt, Martton, New Jersey. For Respondent Josephthal, Lyon & Ross, Inc. ("Josephthal"): John Bersin, Esq., Associate General Counsel with Jose

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Richard Deblase 96-04082 Name of Respondent Tullett & Tokyo Securities, Inc. REPRESENTATION For claimant Richard Deblase ("claimant") appeared Chaim A. Levin, Esq. of the law offices Richards & O'Neil, LLP, located in New York, New York. For respondent Tullett & Tokyo Securities, Inc. ("respondent") appeared Herman L. Goldsmith, Esq. of the law offices Proskauer

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Erbach Finance Corp. 96-04070 Name of Respondents Bear Stearns & Company Bear Stearns Securities Corp. REPRESENTATION For Claimant, Erbach Finance Corp. ("Claimant"), appeared, L. Douglas Shrader, Esq., located in Westport, Connecticut. For Respondents, Bear Stearns & Company {"Bear Stearns") and

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Dean Witter Reynolds, Inc., Claimant and Counter-Respondent, and No. 96-04069 Frederick B. Blagg, Respondent, Counter-Claimant, and Third Party Claimant, and E. Brad Hudgens, and Robert W. Bass, Third Party Respondents. REPRESENTATION OF PARTIES Claimant and Counter-Respondent, Dean Witter Reynolds, Inc., and Third Party Respondents, E.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Brian Volmer, and Metvin G Volmer, Claimants, vs. No. 96-04068 Slifel, Nicolaus & Co., Inc., Respondent. REPRESENTATION OF PARTIES Brian Volmer and Melvin G. Volmer ("Claimants") represented themselves. At hearing, Brian Volmer appeared on behalf of Claimants along with the assistance of Mr. McHugh, an investment counsellor. Melvin G. Volmer

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-04065 Andrew Geiss, claimant v. Nationwide Securities Corporation and Peter Restivo, respondents. ATTORNEYS: Claimant appeared Pro Se., Littleton, CO. Respondent Nationwide Securities Corporation did not appear. Respondent Peter Restivo appeared Pro Se - Valley Stream, New York. DATE FILED: September 12, 1996. CASE SUMMARY: Claimant alleged failure to foll

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David Eckert 96-04064 Name of Respondent E*Trade Securities, Inc. CASE SUMMARY (n a case tiled with National Association of Securities Dealers Regulation, Inc. on September 12. claimant David Eckert ("claimant"), who appeared Pro Se, alleged that respondent E*Trade Securities. Inc. ("E*Trade") gave him an inaccurate