NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-01617 Ann Burge, IRA, claimant vs. Prudential Securities, Inc., respondent. ATTORNEYS: Claimant appeared pro se, Peckville, PA. For Respondent appeared Gerald J. Kowalski, Esq., in-house counsel, New york, NY. DATE FILED: March 19, 2002 CASE SUMMARY: Claimant alleged that respondent failed to sell her mutual funds in a timely manner. Claimant maintained that because of respondent's actio

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Hermanus L. Jooste Case NnmW 02-01616 Names nf the Respondents Tasin & Company, Inc. Robert Francis Tassinari, Jr. Chanse Keith Menendez Hearing Site: Philadelphia, PA Nature of the Dispute: Customer vs. Member and Associated Persons. RRPRF.SFNTATTON OF PARTIES Claimant, Hermanus L. Jooste, hereinafter referred to as "Claimant", was represent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Neil Bradley, (Claimant) vs. Weatherly Securities Corp. and Freddy Amaya, (Respondents) Case Number: 02-01614 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Neil Bradley, hereinafter referred to as "Claimant": Michael P. Marsalese, Esq., Marsalese Law Group, PLLC, Bloomfield Hills, MI. Respondent, Weatherly Securities Corp. ("Weatherly"), hereinafter referred t

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-01613 Gloria Holland, claimant vs. Vincent Cappetta, respondent. ATTORNEYS: Claimant appeared pro se, Paducah, KY. Respondent appeared pro se, Lake Success, NY. DATE FILED: March 19, 2002 CASE SUMMARY: Claimant alleged that respondent made unauthorized trades in her account to profit himself. Claimant maintained that due to respondent's actions, her account suffered a loss. Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Valentine Manov Pitheckoff v. Brian DeCamp & Securities America, Inc. Hearing Site: New York, New York Case Number: 02-01611 REPRESENTATION OF PARTIES Claimant, Valentine Manov Pitheckoff, hereinafter referred to as "Claimant": Robert L. Herskovits, Esq., Bachner & Herskovits, P.C., New York, NY, previously pro se. Respondents, Brian DeCamp & Securities America, Inc, hereinafter ref

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimants Case Number: 02-01607 Philip Dobrofsky individually and as trustee to the Philip Dobrofsky Trust and the Lilliam Berkowitz Trust, and Esther Dobrofsky Name of the Respondents Hearing Site: Chicago, Illinois Morgan Stanley DW, Inc. and Kenneth A. Favata REPRESENTATION OF PARTIES Claimants Philip Dobrofsky individually and as trustee to the Philip D

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants David and Janice Fiedler V. 02-01605 Minneapolis, Minnesota Respondents Round Hill Securities, Inc. and David J. Adix REPRESENTATION OF PARTIES David and Janice Fiedler ("Claimants") were represented by Courtland C. Merrill, Esq., of Anthony Ostland & Baer. P.A., Minneapolis, Minnesota. Round Hill Securities, Inc. ("Round Hill") and David J. Adix ("Adix") we

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Max Fodiman, Bruce B. Fodiman, Fred B. Fodiman and Myra M. Fodiman (Claimants) v, David Lemer Associates, Inc. (Respondent) Case Number: 00-02546 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member Firm REPRESENTATION OF PARTIES Claimants Max Fodiman, ("M. Fodiman"), Bruce B. Fodiman ("B. Fodiman"), Fred B. Fodiman (F. Fodiman), and Myra M. Fodiman (Myra

T v , flov-24-20Q3 12:5Zpm From-HASDA DISPUTE RESOLUTION T-675 P.003/008 F-472 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Virginia R, Robbfos Trust, Claimant v. WM Financial Services, Inc. and Washington Mutual, Inc., Respondents Case Number: 02-01595 Hearing Sfte: Los Angeles, California Nature of the Dispute: Customer v. ivlemter an4 Non-Member REPRESENTATION OF PARTIES For Claimant Virginia R. Robbins Trust: A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Zigmund Galit and Wendy Galit and Zigmund Galit IRA (Claimants) v, David Lerner Associates, Inc. and Bruce Brown (Respondents) Case Number: 02-01590 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Zigmund Galit ("Z. Galit") and Wendy Galit ("W. Galit") and Zigmund Galit IRA ("Z. Galit IRA") h