Award NASD Regulation, Inc. In the Matter of the Arbitration Between: The Moran Fund LP, Claimant vs. Discover Brokerage Direct, Inc., Respondent. Case Number: 99-00166 Hearing Site: Salt Lake City, Utah Claimant, The Moran Fund LP, hereinafter referred to as "Claimant": Amedee D. Moran, Salt Lake City, Utah Respondent, Discover Brokerage Direct, Inc. ("Discover Brokerage"), hereinafter referred to as "Respondent": Robert Sullwold, Esq., Sullwold & Hugh

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ej" 99-00159 Kenneth P. Hill; Kenneth & Dorothy Hill and Marlene Juren; and Estate of Verlee Hill "f the Respondents Hearing-Site: Dallas, Texas Richard J. Zimmer; Addison Securities Inc.; and Brookstreet Securities Corp. OFPAPTTFS Claimants Kenneth P. Hill; Kenneth & Dorothy Hill and Marlene Juren; and the Estate of Verlee Hill, hereinafter referred to as "Claim

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Milton Hirsch, (Claimant) vs. Hornhlower & Weeks, (Respondent) Case Number: 99-00152 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Milton Hirsch, hereinafter referred to as "Claimant": Seth T. Taube, Esq., McCarter & English, LLP, Newark, NJ. Respondent, Hornblower & Weeks, hereinafter referred to as "Respondent": Peter Campitiello, Esq., Spinelli & Associates, Ne

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: PaineWebber v. Danforth E. Holley Case Number: 99-148 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant PaineWebber, Inc. ("PaineWebber"), hereinafterreferred to as "Claimant": Sandra D. Grannum, Esq., PaineWebber, Inc., Weehawken, New Jersey. Respondent, Danforth E. Holley ("Holley"), hereinafter referred to as "Respondent": David M. Foster, Esq., Farmington

In the Matter of the Arbitration Between: Name of the Claimant Jean H. Stuart Names of the Respondents First Associated Securities Group Carl D. Martellaro First Securities USA, Inc. Anthony Martellaro Ted Bryson Case Number: 99-00144 Hearing Site: Tampa, FL REPRESENTATION OF PARTIES For Jean H. Stuart, hereinafter referred to as "Claimant": Allan J. Fedor, Esq., the Law Offices of Fedor & Fedor, Largo, FL. For Respondent First A

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Barbara Cesmat, (Claimant) vs. Salomon Smith Barney, Alan Griffin and Phil Butts, (Respondents). Case Number: 99-00143 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Barbara Cesmat: Steven Glaser, Esq., Gelfand Rappaport & Glaser, Los Angeles, California. Salomon Smith Barney Inc. ("SSB") and Alan Griffin: Harry T. Walters, Esq., Salomon Smith Barney Inc., New

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:00-03270 Barrel K. Hadley, claimant vs. Ameritrade, Incorporated, respondent. ATTORNEYS: Claimant appeared Pro Se, Victorviile, CA. » Respondent appeared through in-house counsel, Caroline F. Wyzykowski, Bellevue, NE. DATE FILED: August 1, 2000. CASE SUMMARY: Claimant alleged that respondent failed to process five transfer forms in a timely manner thereby causing financial losses.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: William Monte, (Claimant) vs. Ameritrade, Inc., (Respondents). Case Number: 99-00141 Hearing Site: San Francisco, California, REPRESENTATION OF PARTIES William Monte hereinafter referred to as ''Claimant": William Monte represented himself. Ameritrade, Inc. hereinafter referred to as "Respondent": James J. Vihstadt, Esq., Ameritrade, Inc., Omaha, Nebraska. CASE INFORMATION Sta

AWARD NASD Regulation, Inc. CASE: 99-00132 Mark Glaser and Lynn Glaser, JTWROS, claimants vs. Sean M. Zausner and Global Financial Group, Inc., respondents. ATTORNEYS: Claimants appeared Pro Se - Springfield, VA. For Respondent SeanM. Zausner appeared Luigi Spadafora, Esq. and Mark G. Vaughan, Esq., of the firm, Winget & Spadafora, LLP, New York, NY. For Respondent Global Financial Group, Inc. appeared Michael H. Ference, Esq., of the firm, Lamp

7 N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-00126 Gary Baker, claimant vs. Howard A. Fields and Morgan Grant Capital Corp., f/k/a Worthington Capital Corp., respondent. ATTORNEYS: Claimant Gary Baker ("Claimant")* appeared Pro Se., Syracuse, New York. Respondent Howard A. Fields ("Fields"), did not respond to the Statement of Claim. For Respondent Morgan Grant Capital Corp., f/k/a Worthington Capi