N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David E. Brown 95-00974 Name of Respondents Robert Todd Financial Corporation John Carr CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 23, 1995, Claimant David E. Brown ("Claimant") who appeared Pro Se, alleged that in July 1994, he placed an order for 1000 shares of Inte

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant James L. Lowe and 00-04587 Scottsdale, Arizona Name of Respondents Trend Trader, LLC Mark A. Seleznov Wendy Seleznov REPRESENTATION OF PARTIES James L. Lowe ("Claimant") appeared pro se. Trend Trader, LLC ("Respondent Trend Trader"), Mark A. Seleznov and Wendy Seleznov were represented by Robert D. Ryan, Esq., Bonnett, Fairbourn, Friedma

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Agapito Santos Trust, Agapito Santos TTEE 95-00971 Name of Respondent A.S. Goldmen & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 23, 1995, Claimant Agapito Santos Trust, Agapito Santos, TTEE ("Claimant"), who appeared Pro Se, alleged that Respondent A.S. Goldmen

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Robert AUman and 95-00969 Name of Respondent Howard Scott Gelfand Stratton Oakmont, Inc. REPRESENTATION OF PARTIES Robert Allman ("Claimant") was represented by G. Martin Cole, Esq., Rothberg, Gallmeyer, Fruechtenicht & Logan, Fort Wayne, Indiana. Howard Scott Gelfand ("Respondent Gelfand") and Stratton Oakmont, Inc. ("Respo

AWARD- NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Dennis L. Bell, d/b/a Bell Enterprises, Claimant and Counter-Respondent, and No. 95-00965 Prudential Insurance Company of America District Agencies Division, James D. Seabury, James T. Moore, Paul P. Caswell, Gary W. Robinson, and Lynn M, Magnuson, Respondents and Counter-Claimants. REPRESENTATION OF PARTIES Claimant Dennis L. B

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between PaineWebber, Incorporated, Claimant, v. Elliott H. Blonde, Respondent. and No. 95-00962 Elliott H. Blonde, Counterclaimant, v. PaineWebber, Incorporated, Counterrespondent REPRESENTATION OF j> ARTIES PaineWebber, Inc. ("Claimant") was represented by W. Charles Thomson, Esq., of Gallagher & Kennedy, Phoenix, Arizona. El

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04583 Laurence Pilgeram, Ph.D., Claimant vs. Robert K. Malkin, Respondent. ATTORNEYS: Claimant, Laurence Pilgeram, Ph.D., ("Claimant"), appeared Pro Se, Goleta, CA. For Respondent, Robert Keith Malkin, ("Respondent"), appeared James M. Fraser, Esq., of the Law Offices of Patrick E. Whalen, South Coast Metro, CA. DATE FILED: October 16, 2000 CASE SUMMARY: Claimant alleged that Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DF.ALERS. INC. In the matter of the Arbitration Between Name of Claimant Mark Peterson NASD Arbitration #95-00959 vs. Name of Respondents Murphey Favre Inc, Washington Mutual Savings Bank Johanna Steele REPRESENTATION Claimant represented himself. For Respondents Murphey Favre and Washington Mutual: H. Richard Namba, Esq., Murphey Favre Inc., Seattle, Washington Respondent Joh

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Incorporated and 95-00947 Name of Respondent Trey Fecteau REPRESENTATION OF PARTIES Prudential Securities, Inc. ("Claimant") was represented by Mark L. Seffinger, Esq. of Prudential Securities, Inc. located in New York, NY. Trey Fecteau ("Respondent") did not file an answer and did not appear at the hea

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 95-00939 Name of Respondent Michael Silverstein CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 22, 1995, Claimant PaineWebber, Inc., through in-house counsel, Joseph F. Generelli, Esq., alleged that on or about March 22, 1994, Respondent Michael Silverstein,