AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimants Paul B. Swim and Kellee M. Swim v. Name of Respondents Bear Steams & Co., Inc., Advest, Inc. and Michael Patrick McCall Arbitration No. 98-03474 REPRESENTATION For Claimants: For Respondents Bear Stearns & Co. Inc. and Michael Patrick McCall: For Respondents Advest, Inc. and Michael Patrick McCall: Steve Buchwalter, Esq. Law Off

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Joseph & Barbara Stazzone Case No. 98-03468 Names of Respondents D.H. Blair & Co., Inc. Alex Dewar Kenton E. Wood Alan Stabler Vito Rocco Capotorto Richard Sichenzio John Thomas McGuire Michael Vincent Siciliano REPRESENTATION OF PARTIES For Claimants Joseph and Barbara Stazzone hereinafter referred to as "Claimants"

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Majid A. Chaudry (Claimant) vs. The J.B. Sutton Group, ULC, Michael Stephan and Stephen Schoffman (Respondents). Case Number: 98-03465 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Majid A. Chaudry ("Chaudry"): Brian H. Reis, Esq., Brian Reis & Associates, New York, New York. Respondent The J.B. Sutton Group, LLC ("J.B. Sutton") and Stephen Schoffman ("Sch

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Velma H. Vernon 98-03462 Names of Respondents Prudential Securities Incorporated William E. Pickens, Jr. REPRESENTATION For Claimant: Vicki V. Ray as power-of-attorney for Velma H. Vernon. For Respondents Prudential Securities Incorporated ("Prudential") and William E. Pickens, Jr. ("Pickens"): Frank M. Weber, Esq., Associate Vice President, Assistant G

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Sergio A. Piedra, (Claimant) vs. Continental Broker-Dealer Corp. and Frank V. Belmont (Respondents) Case Number: 98-03461 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Sergio A. Piedra, hereinafter referred to as "Claimant" appeared pro se. Respondents, Continental Broker-Dealer Corp. ("CBD") and Frank V. Belmont ("Belmont") hereinafter collectively refer

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Earl V. Johnson II, Lorraine E. Johnson and EVJ Co. Ltd. (Claimants) v. Everen Securities Inc., Leonard Vaughn Mauck, Brad C. Brooks, Robert J. Marquardt, Denise Kathleen Unsworth, Raymond Gerald Baker (Respondents). Case Number: 98-03452 Hearing Site: Dallas, Texas. REPRESENTATION OF PARTIES Claimants, Earl V. Johnson, n (" Earl Johnson"), Lorraine E. Johnson ("Lorraine

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joseph P. Falco, (Claimant) vs. Raike Financial Group, Inc., (Respondent) Case Number: 00-03198 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Joseph P. Falco, hereinafter referred to as "Claimant", appeared pro se. Respondent, Raike Financial Group, Inc., hereinafter referred to as "Respondent": Ruthann G. Niosi, Esq., Law Offices of Ruthann G. Niosi, Es

Stipulated Award NASD Regulation, lac. In the Matter of the Arbitration Between: RUBENA BURCH and LESLIE HILL, Claimants and Counter-Respondents, v. ORRIE C. DONLEY, JR. and MERRILL LYNCH, PIERCE, FENNER& SMITH, INC., Respondents and Counter-Claimants. Case Number: 98-3451 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimants, Rubena Burch ("Burch") and Leslie Hill ("Hill"), hereinafter collectively referred tto as "Claiman

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Daniel Gonyea vs. Case No. 98-03450 Name of Respondents Gruntal & Co., Inc. David LeFort REPRESENTATION OF PARTIES Claimant, Daniel Gonyea, hereinafter referred to as "Claimant": Francis M. Doran, Jr., Esq., Doran and Doran, Natick, Massachusetts Respondents, Gruntal & Co, Inc. ("Gruntal") and David LeFort ("LeFort"), hereinafter collectively referr

AWARD NASP Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Charles Wright and 98-03449 Name of Respondents Western International Securities, Inc. Concept Brokerage Holding Corp. REPRESENTATION OF PARTIES Charles Wright ("Claimant") was represented by William D. Nelson, Esq., Rothgerber Johnson & Lyons, LLP., Denver, Colorado. Western International Securities, Inc. ("Respondent Western") and Concept Brokerage Ho