Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Antonio Oonato and Marilyn Donate, (Claimants) vs. Bear Stearns & Co., Inc. and Robert D. Zielke, (Respondents). Case Number: Hearing Site: 99-00927 Chicago, Illinois REPRESENTATION OF PARTIES Claimants, Antonio Donato ("A. Donate 71 ) and Marilyn Donato ("M. Donate"), hereinafter collectively referred to as "Claimants": Steven J. Rotunno, Esq., Kubasiak, Cremi

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Marian Kornicki, Claimant v. John Saffro and Morgan Stanley Dean Witter, Respondents Case Number: 99-00923 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Marian Komicki In Pro Per Los Angeles, California For Respondents: Janet Epstein, Esq. Morgan Stanley Dean Witter San Francisco, California CASE INFORMATION Statement of Claim receiv

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03364 Duli Mao & Yu Ma, Claimants vs. Charles Schwab Co., Inc., Respondent. ATTORNEYS: Claimants, Duli Mao and Yu Ma, ("Claimants"), appeared Pro Se, Sunnyvale, CA. Respondent, Charles Schwab Co., Inc., ("Respondent"), appeared through its in-house counsel, Mauricio S. Beugelmans, Esq., San Francisco, CA. DATE FILED: August 7, 2000. CASE SUMMARY: Claimants alleged that they purchas

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Judith F. Grogan Richard D. Funderburke Case No. 99-00915 Names of Respondents Salomon Smith Barney, Inc. Edward R. Doughty Name of Third Party Respondent John P. Funderburke REPRESENTATION OF PARTIES For Judith F. Grogan ("Grogan") and Richard D. Funderburke ("R. Funderburke"), hereinafter collectively referred to as "Claimants": F. D

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Olde Discount Corporation, Claimant v. Jerry L. St. John, Respondent Case Number: 99-00914 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Michael P. Knittel, Esq. Olde Discount Corporation Detroit, Michigan For Respondent: Jerry L. St. John In Pro Per Encinitas, California CASE INFORMATION Statement of Claim filed: February 26,1

AWARD NASD Regulation, Inc. CASE: 99-00904 Kenny Jr. Simpson, claimant vs. Waterhouse Securities, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se. - San Diego, CA. For Respondent appeared in-house counsel, Janis Campanella, Esq. - New York, NY. DATE FILED: March 1, 1999 CASE SUMMARY: Claimant alleged that respondent negligently executed the purchase of an IPO stock in claimant's online account. Claimant further alleged that respondent failed t

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00903 Jim Phillips, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant Jim Phillips appeared Pro Se., Nashville, Tennessee. For Respondent E*Trade Securities, Inc., appeared Bob Salvador, Senior Compliance Analyst, E*Trade Securities, Inc., Palo Alto, California. DATE FILED: 03/02/1999 CASE SUMMARY: Claimant alleged that on February 3,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00902 Jon E. Guidry and Lorraine Guidry, claimants vs. Ameritrade, Inc., respondent. ATTORNEYS: Claimants, Jon E. Guidry and Lorraine Guidry, appeared Pro Se., Reserve, LA. Respondent, Ameritrade, Inc., appeared through its Vice President, James A. Rickets, Bellevue, NE. DATE FILED: 03/02/1999 CASE SUMMARY: Claimants alleged that respondent failed to execu

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00901 Ken Mackey Construction Company Employee Profit Sharing Plan, claimant vs. Richard A. Allen and PainWebber, Inc., respondents. ATTORNEYS: Claimant, Ken Mackey Construction Company Employee Profit Sharing Plan, appeared Kenneth L. Mackey, Granite Bay, CA. Respondents, Richard A. Allen and PaineWebber, Inc., appeared through Gregory E. Copeland, Associ

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-00900 Bennett Family Trust, claimant vs. First Metropolitan Securities, Inc., and Louis Sorrentino, respondents. ATTORNEYS: Claimant appeared Pro Se, through its trustees Loring F, Bennett and Virginia E. Bennett, Rescue, CA. Respondent First Metropolitan Securities, Inc., did not respond to the Statement of Claim. For Respondent Louis Sorrentino, appeared