02-04016-Award-NASD-20031203.pdf
AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Patrick John Smith v. 02-04016 Denver, Colorado Respondent Charles Schwab & Company, Inc. Nature of Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Patrick John Smith ("Claimant") was represented by Martin M. Berliner, Esq., of Berliner Zisser Walter & Gallegos, Denver, Colorado. Charles Schwab & Company, Inc. ("Respondent") was represented