NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07304 U.S. Discount Brokerage Inc., claimant vs. Robert E. Gill and Ethel M. Gill, respondents. ATTORNEYS: For Claimant appeared V.P. Gregory A. Randall, Rocky River, OH. Respondents did not respond to the statement of claim. DATE FILED: December 3, 2002 CASE SUMMARY: Claimant alleged that respondents failed to repay a debit balance due to the fact that their position dropped below the m

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07302 Jack and Joyce A. Mavis, claimant vs. Brian Leggett and E*Trade Securities, Inc., respondent. ATTORNEYS: Claimants appeared pro se, Tiburon, CA. For Respondent appeared in-house counsel John Bersin, Esq., Rancho Cordova, CA. DATE FILED: December 3, 2002 CASE SUMMARY: Claimants alleged that respondents rescinded bonuses that were promised to them in their accounts. Claimants maintai

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07300 Continental Broker-Dealer Corporation, Claimant vs. Robert Keon, Respondent. ATTORNEYS: For Claimant appeared Timothy Feil, Esq. of the Law Office of Timothy Feil, Carle Place, NY. Respondent did not respond to the Statement of Claim. DATE FILED: December 3, 2002 CASE SUMMARY: Claimant alleged respondent indemnify the firm for a previous arbitration settlement for a claim that resu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07299 Vincent J. and Dorothy H. Mclnerney Name of the Respondent Hearing Site: Tampa, Florida SII Investments, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Vincent J. and Dorothy H. Mclnerney, referred to as "Claimant": James D. Keeney, Esq., James D. Keeney, P.A., Sarasota, Florida. For SII Investment

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07298 Esther Farnsworth Name of the Respondent Hearing Site: Tampa, Florida Morgan Stanley DW, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Esther Farnsworth ("Farnsworth"), hereinafter referred to as "Claimant": James D. Keeney, Esq., James D. Keeney, P.A., Sarasota, Florida. For Morgan Stanley DW, I

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Lawrence Feather Jane Feather Names of the Respondents Securities Service Network, Inc. Jay C. Kelter Jerome Kelter Case Number: 02-07292 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lawrence Feather and Jane Feather, hereinafter collectively

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Loren Knicely and Loren Knicely as Trustee of the New Hope Cemetery Fund (Claimants) v. Prudential Securities, Inc. n/k/a Prudential Equity Group, Inc. and John Cochran (Respondents) Case Number: 02-07285 Hearing Site: Columbus, Ohio Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Loren Knicely ("Knicely 9 ') and Lor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James and Janet Pfuelb (Claimants) v. Advest, Inc., Edward Carlsen, Sr., and Roger Faulring (Respondents) Case Number: 02-07283 Hearing Site: Buffalo, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants James and Janet Pfuelb ("The Pfuelbs") hereinafter collectively referred to as "Claimants": Donald G. McGrath, Esq.,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Beulah Granger, (Claimant) vs. Carlin Equities Corp. and Joseph Doria, (Respondents) Case Number: 00-04214 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Beuiah Granger, hereinafter referred to as "Claimant": John E. Lawlor, Esq., a sole practitioner, Mineola, NY. Claimant originally appeared pro se. Respondent, Carlin Equities Corp. ("Carlin"), did not a

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Jay Patel and Naresh Patel, (Claimants) vs. First Montauk Securities Corp. and Dhruva Sethna, (Respondents) Case Number: 00-00432 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimants, lay Pate! ("J. Patel") and Naresh Patel ("N. Patel"), hereinafter collectively referred to as "Claimants": John M. DeLaney, Esq., DeLaney & O'Connor, LLP, Syracuse, NY. Respond