Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Arthur Wein, individually and as custodian for Eric Wein and Brian Wein, (Claimant) vs. FAB Securities of America, Inc. f/k/a RAS Securities Corp., Marc Wein, David Parsons, and Wertheim Schroder & Co., Inc. n/k/a Schroder & Company, (Respondents) Case Number: 99-01427 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Arthur Wein, individually and as custodi

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01424 Richard A.S. Jones, claimant vs. John Duffy and The Vanguard Group, respondents. ATTORNEYS: Claimant Richard A.S. Jones appeared Pro Se., Powell, Ohio. For Respondents John Duffy and The Vanguard Group, Pauline C. Scalvino, Esq., Principle and Associate Counsel of The Vanguard Group, Valley Forge, Pennsylvania. DATE FILED: 03/24/1999 CASE SUMMARY: Cl

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-01422 Thomas E. Thurman, claimant vs. A.G. Edwards, Inc. and Steve Mestres, respondents. ATTORNEYS: For claimant appeared Roy Hendin, Esq., St. Louis, MO. For respondents appeared in house counsel, Jeff Jamieson, Esq., St. Louis, MO. DATE FILED: March 24, 1999 CASE SUMMARY: Claimant alleged negligence with respect to respondents' delay in entering sell orders for eight S&P Cash Ind

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Gary K. Coveny (Claimant) vs. Broker Dealer Financial Services Corp., John M. Colias, and Jeff Joseph Heider (Respondents) Case Number: 99-01419 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Gary K. Coveny ("Coveny"): Laurence M. Landsman, Esq., Block & Landsman, Chicago, Illinois Respondents Broker Dealer Financial Services Corp. ("Broker Dealer") John M.

RICHARD A. KAROLY California Bar# 171065 CHARLES SCHWAB & CO., INC Office of Corporate Counsel 101 Montgomery St. San Francisco, CA 94104 (415)636-1127 Attorneys for Claimant IN ARBITRATION PROCEEDINGS BEFORE THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CHARLES SCHWAB & CO., INC., ) NASD Docket No.: 99-01415 ) - Claimant, j STIPULATED AWARD v - ) MT PARTNERS, a partnership; and MASON ) TARKESHIAN aka MOHSEN <

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Barton and Evelyn Klayman Case No. 99-01414 Name of Respondent All-Tech Investment Group, Inc. REPRESENTATION OF PARTIES For Claimants: Bruce W. Barnes, Esq. of Johnson, Blakely, Pope, Bokor, Ruppel & Burns, P.A., Tampa, FL. For Respondent: Robert Wayne Pearce, Esq. of Robert Wayne Pearce, P.A., Ft. Lauderdale, FL. CASE INFORMATION Statement o

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Randall P. Cline vs. Smith Barney, formerly Smith Barney Shearson Case Number: 99-1410 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant Randall P. Cline, hereinafter referred to as "Claimant": Attorney Sharon Boelio, Esq., Kaplovitz and Associates, PC, Sylvan Lake, Michigan. Respondent Salomon Smith Barney, Inc. hereinafter referred to as "Respondent": James S. G

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01407 The Amy R. Roy 1994 Irrevocable Trust, claimant vs. John Staunton and Tucker Anthony, Inc., respondents. ATTORNEYS: For Claimant The Amy Roy 1994 Irrevocable Trust ("Claimant"), Jennifer L. Roy, trustee of the Irrevocable Trust Fund, Laconia, New Hampshire. For Respondents John Staunton ("Staunton") and Tucker Anthony, Inc. ("Tucker Anthony"), Patric

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tim A. Buscher, Claimant vs. Brent A. Patterson and Debi Hamel, Respondents. Case Number: 00-03450 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Tim A, Buscher, hereinafter referred to as "Claimant": Tim A. Buscher, First Allied Securities, Inc., Zephyr Cove, Nevada Respondents, Brent A. Patterson ("Patterson") and Debi Hamel ("HameJ"), herein

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Montauk Securities Corp., (Claimant) vs. John Knier, (Respondent) Case Number: 99-01406 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, First Montauk Securities Corp., hereinafter referred to as "Claimant": Lloyd S. Clareman, Esq., a sole practitioner, New York, NY. Respondent, John D. Knier, hereinafter referred to as "Respondent": appeared pro se.