N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-03498 Jeff Pack, claimant vs. Norman Leventin, James W. Cannon, and Mario Depinto, respondents. ATTORNEYS: Claimant Jeff Pack ("Claimant"), appeared Pro Se., Puyallup, Washington. For Respondent James W. Cannon ("Cannon"), Lawrence R. Gelber, Esq., New York, New York. Respondent Mario Depinto ("Depinto"), appeared Pro Se., Hawthorne, New York. Respondent N

AWARD NASD Regulation CASE: 98-03497 Wedbush Morgan Securities, Inc., claimant vs. Thomas A. Bianca, respondent. ATTORNEYS: Claimant Wedbush Morgan Securities, Inc., appeared Pro Se., through it's Vice President Marie E. Eaton, Los Angeles, CA Respondent Thomas A. Bianca did not respond to the Statement of Claim. DATE FILED: 9/21/1998 CASE SUMMARY: Claimant alleged that respondent was given a $20,000.00 Promissory Note of which $12,756.52 was fo

AWARD NASD Regulation, Inc. CASE: 98-03495 Prudential Securities Incorporated, Claimant vs. John P. Anthony, Respondent. ATTORNEYS: For Claimant appeared Linda A. Gallagher, Esq. of Gomberg Kane & Fischer, Ltd., Chicago, 1L. Respondent appeared pro se. DATE FILED: September 21, 1998. CASE SUMMARY: Claimant alleged the following: that on August 11, 1995, Claimant and Respondent entered into an employment agreement; that on or about November 4, 19

Award NASD Regulation, Inc. In the Matter of the Arbitration Between; Clark R. Smith, Claimant vs. Legg Mason Wood Walker, Inc., Respondent Case Number: 98-03494 Hearing Site; Washington, B.C. REPRESENTATION OF PARTIES Claimant Clark R. Smith ("Claimant"): Gregory J. Harris, Esq., Leesburg, Virginia Respondent Lee Mason Wood Walker, Inc. ("Respondent)": Edward E. Sharkey, Esq., Gebhardt & Smith, Baltimore, Maryland CASE INFORMATION Statement of

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Olde Discount Corporation (Claimant) vs. Deanna Young (Respondent). Case Number 98-03493 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Olde Discount Corporation ("Olde"): Ronald P. Kane, Esq., Gomberg Kane & Fischer, Ltd., Chicago, Illinois Respondent Deanna Young ("Young"): Erwin Cohn, Esq., Conn & Cohn, Chicago, Illinois ^ ;| , CASK INFORMATION S

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between THOMAS J. STALEY, Claimant And Case Number: 00-00349 E*TRADE SECURITIES, INC. Respondent PARTIES AND REPRESENTATIVES Claimant, Thomas J. Staley, appeared pro se. Respondent, E*Trade Securities, Inc., was represented by Ekwan E. Rhow, Esq. of Bird, Marella, Boxer & Wolpert, P.C., of Los Angeles, California CASE INFORMATION The Statement of Claim was filed on

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants James Cerva and Peggy Cerva and v 98-03491 Kansas City. Missouri Name of Respondents FBD Investment Services, Inc. James P. Randazzo REPRESENTATION OF PARTIES James Cerva and Peggy Cerva ("Claimants") were represented by James M. Ziegler, ,Esq^, - .; . Humphrey, Farririgton& McCiain, P.C.. Independence, Missouri. -*•' o!< tvy, i ^ • FBD Inve

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: PaineWebber, Inc., (Claimant) vs. Robert Mark Magee, (Respondent). Case Number: 98-03482 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, PaineWebber, Inc. ("PaineWebber"), hereinafter referred to as "Claimant": Sandra D. Grannum, Esq., PaineWebber, Ind., Weehawken, New Jersey. Respondent, Robert Mark Magee ("Magee"), hereinafter referred to as "Respondent": Br

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: John Naifeh, (Claimant) vs. Cambridge Capital L.L.C. and Norman Brodeur, (Respondents). Case Number: 98-03480 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, John Naifeh ("Claimant"): Clint Corrie, Esq., Fernandez & Knebel, Dallas, Texas. Respondents, Cambridge Capital, L.L.C. ("Cambridge Capital") and Norman Brodeur ("Brodeur"), hereinafter collectively referr

AWARD NASD Regulation, Inc. CASE: 98-03479 Lucian Leonte, claimant vs. Suretrade, Inc., respondent. ATTORNEYS: Claimant Lucian Leonte appeared Pro Se, Pacifica, CA Respondent Suretrade, Inc. appeared through its Compliance Officer, Yolande D. Black, New York, NY DATE FILED: 09/18/98 CASE SUMMARY: Claimant alleged that respondent, through their system of "order" and "execution" screens, misinformed him about the status of orders for shares of ITE