Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant First Citizens Bank, Executor of the Estate of Cathryn T. Chiiders Names of Respondents James G. Tarrant and Prudential Securities Incorporated NASD Case No. 98-02239 Hearing Site: Raleigh, North Carolina REPRESENTATION OF PARTIES Claimant First Citizens Bank, Executor of the Estate of Cathryn T. Childers, hereinafter referred, to as "Claimant": And

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Sandie J. Preiss IRA vs. Case No. 98-02238 Name of Respondents Prudential Securities, Inc. D.H. Blair & Company Barington Capital Group Alfred S. Palagonia REPRESENTATION OF PARTIES Claimant, Sandie J. Preiss, hereinafter referred to as "Claimant": Brian H. Silver, Esq., Towson, Maryland Respondent, Prudential Securities, Inc. ("PSI"): William H

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-3098 Jane C. Upp, Claimant vs. Fidelity Brokerage Services, LLC, Respondent. ATTORffEYS: Claimant 1 appeared Pro Se, Carmel, CA. For Respondent appeared Michael G. Shannon, Esq., of the firm of Phillips, Lytle, Hitchcock, Elaine & Huber, LLP, New York, NY. DATE FILED: July 21, 2000. CASE SUMMARY: Claimant alleged that she wanted to replace her existing life insurance policy wit

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Hiram W. Jennings and Shirley Jennings, Claimants vs. Financial Network Investment Corporation and John Brackett, Respondents. Case Number: 98-02237 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimants, Hiram W. Jennings and Shirley Jennings, hereinafter collectively referred to as "Claimants": James J. Sullivan, Esq., Novato, California and Scot D. Bernstein, E

I AWARD NASD Regulation, Inc. CASE: 98-02236 Steven Kuhn, claimant vs. Waterhouse Securities, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se. - Tujunga, CA. For respondent appeared Janis Campanella, Esq., - New York, NY. DATE FILED: 6/19/98 CASE SUMMARY: Claimant alleged execution price error. Claim Data Award Data Claim: $6,457.69 Award: $.00 Filing Fee $.00 Filing Fee: $150.00 Other: $1,000.00 Other: $.00 AWARD: The unde

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant ISO Solid Capital Markets, LLC 98-02233 Name of Respondent Wolff Investment Group, Inc. REPRESENTATION For Claimant ISG Solid Capital Markets, LLC ("Claimant") appeared Louis F. Burke, Esq. a sole practitioner with offices located in New York, New York. For Respondent Wolff Investment Group, Inc. ("Respondent") appeared Justin Y. K. Chu of the law offic

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 98-02231 Nicola A. Damascene Names of the Respondents Hearing Site: Boca Raton, Florida Corporate Securities Group, Inc.; Investors Associates, Inc.; Centex Securities, Inc.; Lawrence Joseph Penna, individually and as owner, officer, employee and agent of Investors Associates, Inc.; Herman Epstein, individually and as owner, officer, emp

AWARD NASD Regulation, Inc. SIDNEY BARLOW and JULIA BARLOW, i Claimants V. HERMAN EPSTEIN, LAWRENCE PENNA, DAVID C. BARON, STEPHEN B. WHITE and INVESTORS ASSOCIATES, INC. — Respondents. § § § § § CASE NO. 98-02230 § § § § § § REPRESENTATION OF PARTIES Claimants Sidney and Julia Barlow were represented by Dan R. Waller, P.C. of the firm of Secore & Waller, L.L.P., Dallas, Texas. Responde

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant First Associated Securities Group, Inc. v. Arbitration No. 98-02229 Name of Respondents Cowles, Sabol & Co., Inc., National Financial Services Corp., William Sabol, Mitchell C. Voss, Stephen Phillips, Donald Cowles, and Mutual Securities v. Name of Third-Party Respondent Carl Martellaro REPRESENTATION For Claimant and Counter-Respond

AWARD NASD Regulation, Inc. In the Matter of Arbitration Between Olde Discount Corporation, Claimant, and No. 98-02223 Mark Darner Respondent. REPRESENTATION OF PARTIES Claimant, Olde Discount Corporation, ("Claimant") was represented by Michael P. Knittel, Esquire of Olde Discount Corporation located in Dallas. Respondent, Mark Darner, ("Respondent") was represented by T. Alan Owen, Esquire of Alan Owen & Associates, P.C. located in Dal