NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00157 Joseph P. Yamsinski, claimant vs. Advantage Trading Group, Inc. respondent ATTORNEYS: For Claimant appeared William M. Rishoi, Esq., of the firm, Snyderbum, Rishoi, & Swam, Winter Park. FL. For Respondent appeared Randy Cupples, Compliance Officer of Advantage Trading, Group, Longwood, FL. DATE FILED: January 11, 2001. CASE SUMMARY: Claimant alleged that Respondent placed in

NASD DlSPin E RESOLUTION AWARD NASD DISPUl E RESOLUTION. INC. CASE: 01-02176 GKN Securities Corp., Inc., claimant vs. Pinet Bingham a/k/a Pinin Bingham, respondent. ATTORNEYS: For Claimant appeared Michael S. Colombo, Vice President, National Collections Department, New York, NY. Respondent appeared pro se. New York, NY. DATE FILED: April 30, 2001 CASE SUMMARY: Claimant alleged respondent failed to repay monies owed on a forgivable loan. Claim

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-00155 M.L. Stern & Co., LLC, claimant vs. Keith Marszalek, respondent. ATTORNEYS: For Claimant appeared James D. Portman, Esq., in-house counsel, Beverly Hills, CA. Respondent did not submit a response to the Statement of Claim. DATE FILED: November 30, 2000 CASE SUMMARY: Claimant alleged that respondent failed to repay the sum of $7,825.00 which was provided to him as a loan during e

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Estate of Valencia T. Sharpe and 98-00829 Name of Respondent Salomon Smith Barney, Inc. Christopher Charles Deckas REPRESENTATION OF PARTIES Estate of Valencia T. Sharpe ("Claimant") was represented by Richard McGuire, Esq, Minneapolis, Minnesota. Salomon Smith Barney, Inc. ("Respondent Salomon") and Christopher Charles Deckas ("RespondentDeckas") w

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants James W. Keen and Marie Keen United Sheet Metal Co., Inc. Names of Respondents First United Equities Corp. Case No. 98-00828 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For James W. and Marie Keen ("Keen") and United Sheet Metal Co., Inc. ("United"), hereinafter collectively referred to as "Claimants": Charles D. Franken, Esq.,

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 00827 Gerald Bruxvoort and Marilyn Bruxvoort, claimant vs. PaineWebber and Marilyn Carter, respondents. ATTORNEYS: For claimant appeared Gail E. Boliver, Esq., - Marshalltown, IA. For respondents appeared Joel E, Davidson, - Weehawken, NJ. DATE FILED: 3/3/98 CASE SUMMARY: Claimant alleged misrepresentation, churning, failure to supervise, breach of fiduciary duty. Claim Data Award Data Claim: $10,00

AWARD NASD Regulation, Inc. CASE: 98-00823 James I. Gonyo, claimant vs. Kerry Brecker, respondent. ATTORNEYS: Claimant James I. Gonyo appeared Pro Se., West Chazy, NY Respondent Kerry Brecker did not enter an appearance in this matter. DATE FILED: 03/03/98 CASE SUMMARY: Claimant alleged that respondent used high pressure sales tactics, engaged in market price manipulation and misrepresentation regarding the purchase of United Leisure stock. Clai

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant William Edwards vs. Case No. 98-00820 Name of Respondents RTG Richards & Co., Inc. a/k/a Matrix Securities L.B. Saks, Inc. Samuel Constants John L. Bauer REPRESENTATION For Claimant William Edwards ("Claimant") appeared Michael R. Galina, Esq., of the firm Rabinowitz & Galina, Esqs., located in Mineola, New York. Respondent RTG Richards & Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUIUTIES DEALEBS In the Matter of the Aibitiatioii Bm^een Name of Claimantf Stephen R. Tafaro 9M3239 John Pappadopoulos Rembert D. McNeer CASESDMMARY In a claim tiled whli tbe National Assodatkm of Securities Dealers, Inc* on August 16, 1994, Claimant Stephen B. Tafeio^ who appeared Pro Se, aDeged that Respoodents Jobn Pa^iadopQulos and Rembert D. McNeer were neg^geol in the handluiK of his account and

N.A.S.D. REGULATION, INC. AWARD CASE: 98-00819 Doree M. Naegele, claimant vs. Grace Stoneham, respondent. ATTORNEYS: Claimant appeared Pro Se. - Bonita, CA. For Respondent Appeared Grace Stoneham - Sausilito, CA. PATE FIT .FT): 3/3/98 CASE SUMMARY: Claimant alleged misrepresentation and breach of fiduciary duty. Claim Data Claim: $10,000.00 Atty Fees: $.00 Filing Fees:$.00 Other: $.00 Award Data Award: $10,000.00 Atty Fees: $