Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Jeff F. Clarke and Kristy K. Clarke Case Number: 02-07122 Name of the Respondents Hearing Site: Omaha, Nebraska RBC Dain Rauscher, Inc. and Scott Von Minden REPRESENTATION OF PARTIES Claimants, Jeff F. Clarke and Kristy K. Clarke, "Claimants" were represented by Rodney K. Vincent, Esq., Vincent Law Office, Lincoln, Nebraska. Respondents, RBC Dain Ra

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Number: 02-07120 Dennis D. Brooks (Master Case) Barbara Brooks Names of the Respondents Hearing Site- Charlotte, NC Ferris, Baker Watts, Inc. Joseph L. Owen In the Matter of the Arbitration Between: e nf the Claimant Pasp Niimhpr: 03-07730 Dennis D. Brooks (Subordinate Case) Names of the Respondents Hearing Site: Charlotte, NC Scott & Stringfellow, Inc. Josep

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-04183 Anita Pins, Claimant vs. Montrose Capital Management Ltd., John Ferraro and John Telfer, Respondents. ATTORNEYS: Claimant, Anita Pins, ("Claimant"), appeared Pro Se, Brooklyn, NY, Respondent, Montrose Capital Management Ltd., ("Montrose"), John Ferraro, ("Ferraro") and John Telfer, ("Telfer"), (collectively referred to as "Respondents"), did not respond to the Statement of Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Robert W. Baird & Co. Incorporated Names of the Respondents SunAmerica Securities, Inc. Glenn M. Ullmann Aric Berquist Deanna A. Calabrisotto Case Number: 02-07118 Hearing Site: Orlando, Florida Nature of the Dispute: Member vs. Member and Associated Persons. REPRESENTATION OF PARTIES For Robert W. Baird & Co. Incorporated, hereinafter re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07114 Prime Charter LTD Name of the Respondent Hearing Site: Boca Raton, Florida Joseph Messina Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Prime Charter LTD, hereinafter referred to as "Claimant": Evelyn Bukchin, Esq., Prime Charter, LTD, New York, New York. Joseph Messina, hereinafter referred

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07105 Ronald J. Kovack Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Ronald J. Kovack, hereinafter referred to as "Claimant": Curtis Carlson, Esq., Payton & Carlson, P.A., Miami, Florida. For Merril

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Chayn Mousa and Case Number: 02-07096 Hearing Site: Houston, Texas Names of Respondents Wachovia Securities, LLC, First Clearing Corporation, SWS Securities, Inc., and Roderick G. Chisholm, III NATURE OF DISPUTE Customer v. Member Firms and Associated Person REPRESENTATION OF PARTIES Chayn Mousa ("Claimant") was represented by Clayton C. C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shirley J. Smith (Claimant) v. James A. Hawyrliak (Respondent) Case Number: 02-07094 Hearing Site: Buffalo, New York Nature of the Dispute: Customer v. Associated Person. REPRESENTATION OF PARTIES Claimant Shirley J. Smith ("Smith") hereinafter referred to as "Claimant": Great K. Kolcon, Esq., Woods Oviatt Oilman, LLP, Rochester, NY. Respondent James A. Hawyrliak ("Hawyrliak") h

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07092 UBS PaineWebber Inc., Claimant vs. Daniel J. Masucci, Respondent. ATTORNEYS: For Claimant, UBS PaineWebber, Inc., ("Claimant") appeared Romaine L. Gardner, Esq., Staten Island, NY. Respondent, Daniel J. Masucci, ("Respondent") appeared pro. se., Sparks, MD. DATE FILED: November 22, 2002 CASE SUMMARY: Claimant alleged that Respondent failed to repay a draw deficit left in his ac

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07091 UBS Financial Services Inc., f/k/a UBS PaineWebber Inc., (Claimant) vs. Quinn P. Martin, (Respondent) ATTORNEYS: For Claimant appeared Mark A. Rosen, Esq., of the firm Davidson & Grannum, LLP, Boston, MA. Respondent appeared pro se, Baton Rouge, LA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 19, 2002 CASE SUMMARY: Claimant alleged that Respondent br