Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Roger W. Kroschel, (Claimant) vs. Corporate Securities Group, J.W. Charles Clearing Corporation n/k/a JW Genesis Clearing Corporation and Morris W. Dante (Respondents). Case Number: 99-01464 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Roger W. Kroschel, hereinafter referred to as "Claimant": John A. Schmidt, Esq., The Law Offices of John A. Schmidt, P.C., Hous

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Edward G. Dietrich and 99-01448 Scottsdale, Arizona Name of Respondents CIBC Oppenheimer, a division of CISC World Markets Corp. Donald B.GieUo REPRESENTATION OF PARTIES Edward G. Dietrich ("Claimant") was represented by David C. Anson, Esq., DeConcini McDonald Yetwin & Lacy, Tucson, Arizona. CIBC Oppenheimer, a division of CIBC World Markets Corp.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Elizabeth James and Sarah James Trust, (Claimant) vs. Charles W. Hooper, Jr. Owen-Joseph Securities, Inc., et. al. (Respondents). Case Number: 99-01447 Hearing Site: Denver, Colorado REPRESENTATION OF PARTIES Claimants, Elizabeth James and Sarah James Trust ("Claimants"): Steven M. Feder, Esq., Smith McCullough, P,C., Denver, CO. Respondents, Owen Joseph Securities, Inc. and Owen-

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01436 Ira Weil, claimant vs. Fidelity Investments, respondent. ATTORNEYS: Claimant Ira Weil ("Claimant"), appeared Pro Se., New York, New York. For Respondent Fidelity Investments, ("Respondent"), Richelle S. Kennedy, Esq., FMR Corp. Legal Department, Boston, Massachusetts. DATE FILED: 3/25/1999 CASE SUMMARY: Claimant maintained that he was solicited by Re

AWARD NASD Regulation, Inc. ITI the Matter of the Arbitration Between Ngmp of Claimants Leslie A, and Howard L. Farkas and Name of Respondents Joseph Stevens & Company, inc. Harry S. Datys Joseph Sorbara 99-01435 Denver, Colorado O PARTIES Leslie A. and Howard L. Farkas ("Claimants") were represented by John F. Head, Esq., Denver, Colorado. Joseph Stevens £ Company, Inc. ("Respondent Joseph Stevens"), Harry S. Datys ("Respond

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Charles Schwab & Co., Inc., Claimant vs. Dale Haberman' Respondent. Case Number: 99-1433 Hearing Site: Detroit Michigan REPRESENTATION OF PARTIES Claimant, Charles Schwab & Company, Inc., hereinafter referred to as "Claimant": Richard A. Karoly, Esq., Charles Schwab & Company, Inc., San Francisco; California. Respondent, Dale Haberman, hereinafter referred to as "Respondent": did not

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Grady Woodrow and Susan B. Harlan, Jr. Case No. 99-01432 Name of Respondent A.G. Edwards & Sons, Inc. REPRESENTATION OF PARTIES For Grady Woodrow and Susan B. Harlan, Jr., hereinafter collectively referred to as "Claimants": Joel A. Goodman, Esq, of Goodman and Nekvasil, P.A., Clearwater, FL. For A.G. Edwards & Sons, Inc., hereinafter referred to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John F, Schubert and Victoria A. Schubert, Claimants v. Dennis Fitz Dixon, Mark David Hovland, Kory Robert Kemp, Simmons & Bishop Co., Inc. and Evelyn Kottle Simmons, Respondents v. Robert B. Ravenscroft, Third-Party Respondent Case Number: 00-03452 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Howard M. Hoffman, Esq. Melinda Steuer, Es

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael DePaolo (Claimant) vs. West America Securities Corp., Correspondent Services Corporation, and Robert Kay, (Respondents) Case Number: 99-01431 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Michael DePaolo ("DePaolo"), hereinafter referred to as "Claimant": Robert E. Murphy, Esq., Upper Saddle River, NJ. Respondents, West America Securities C

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Core Equity Trust and Catullus Ltd. Partnership (Claimants) vs. Prudential Securities, Inc. (Respondent) Case Number: 99-01430 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Core Equity Trust and Catullus Ltd Partnership, hereinafter collectively referred to as "Claimants": Joseph F. Keenan, Esq., New York, New York. Respondent, Prudential Securities Inc., he