N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: #99-01361 Ira Malkin, claimant vs. Muriel Siebert & Co., Inc., respondent. ATTORNEYS: Claimant, Ira Malkin, appeared Pro Se, New York, NY. Respondent appeared through its Senior Vice President, Kevin J. Kelly, New York, NY. DATE FILED: March 17, 1999 CASE SUMMARY: Claimant alleged that he placed a stop order to sell 3,600 shares of EBAY, if it fell to 161. Re

NASD REGULATION, INC. STIPULATED AWARD In the Matter of the Arbitration Between Name of Claimant Bruno Tamplenizza, NASD #99-01360 Name of Respondents Josephthal & Co., Inc. Kenneth Disbrow Dan Purjes REPRESENTATION OF PARTIES Bruno Tamplenizza ("Claimant") was represented by Jonathan Berg, Esq. of the Law Offices of Jonathan Kord Lagemann New York, New York. Josephthal & Co., Inc., ("Respondent Josephthal") Kenneth Disbrow, ("Re

Consent Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gregg A. Kail, (Claimant) vs. Prudential Insurance Company of America, Inc. and Frank A. Ciambrone, Jr. (Respondents) Case Number: 99-01359 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Gregg A, Kail, hereinafter referred to as "Claimant": James F. Keegan, Esq., Bendit Weinstock, West Orange, NJ. Respondents, Prudential Insurance Company of A

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01356 James J. Godfrey, claimant vs. Faye Saville and Jason Kurchner, respondents. ATTORNEYS: Claimant, James J. Godfrey, appeared Pro Se., Huntington, NY. Respondents, Faye Saville and Jason Kurchner, appeared through Patricia B. Ryan, Esq. of the firm Law Offices of Alan I, Lamer, Elmsford, NY. DATE FILED: 3/22/99 CASE SUMMARY: Claimant alleged that resp

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01354 Philip J. Schutte, claimant vs. Philip E. Steele. respondent. ATTORNEYS: Claimant Philip J.. Schutte appeared Pro Se., Oak Park, Illinois, Respondent Philip E, Steele appeared Pro Se., Los Angeles. California. DATE FILED: 3/22/1999 CASE SUMMARY: Claimant alleged that Respondent tailed to pay commissions owed to him. Claim Data Award Data Claim: 5

I N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01353 Steven Satori, claimant vs. Advest, Inc. and Michael A. Solomon, respondents. ATTORNEYS: Claimant Steven Satori ("Claimant") appeared Pro Se., Lakeport, California. For Respondent Advest, Inc. ("Advest"), appeared in-house counsel, Barry J. Kronemer, Esq., Hartford, Connecticut, Respondent Michael A. Solomon ("Solomon") did not respond to the State

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Edward Sigourney, (Claimant) vs. Meyers Pollack Robbins, Inc., Tasin & Company, Randy Narod, and Jason Galtieri, (Respondents). Case Number: 99-01343 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Edward Sigourney, "Claimant": Douglas W. Oldfield, Esq., Oldfield & Creely, LLP, Carmel, California. ^ Tasin & Company, 'Tasin": Emst Edward Badway, Esq., Sai

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01335 Charles Schwab & Co., claimant vs. Mario J. Heraux, respondent. ATTORNEYS: For Claimant Charles Schwab & Co. ("Claimant") appeared Mauricio J. Rauld, Esq. of the firm Keesal, Young & Logan, Long Beach, CA. Respondent Mario J. Heraux ("Respondent") did not respond to Claimant's Statement of Claim. DATE FILED: 03/19/99 CASE SUMMARY: Claimant alleged du

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jim W. Quinn, Claimant vs. BA Investment Services, Inc., Respondent. Case Number: 99-01334 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimant, Jim W. Quinn (hereinafter referred to as "Claimants": In Pro Per, 2724 Pigeon Pt Road, Eureka, CA 95503. Respondent, BA Investment Services, Inc., (hereinafter referred to as "Respondents. Andrea Hackett Henningsen, Esq., St

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Kamlesh Chopra vs. Investscape, Inc. Case Number: 99-1331 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, Kamlesh Chopra ("Chopra"), hereinafter referred to as "Claimant(s)": pro se, Claimant was formerly represented by Edward M. Olson, Esq., of Velardo Sugameli & Olson, P.L.C., Troy, Michigan. Respondent, Investcape, Inc. ("lnvestcape"),hereinafterreferredto a