Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Cage Number: 02-00110 James M. Burton Names of the Respondents Hearing Site: Pittsburgh, PA UBS Paine Webber, Inc. Norman G. Bloom RFPRttSFNTATTON OF PARTTFS Claimant, James M. Burton, hereinafter collectively referred to as "Claimant" was represented by Joseph V. LuVara, Esq., Attorney at Law, Pittsburgh, Pennsylvania. Respondents, UBS Paine Webber,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: of the Claimant Tucker Anthony Incorporated n/k/a RBC Dain Rauscher, Inc. r 02-00108 Name pfthe Respondent Nicholas C. Kapelonis Site: Philadelphia, PA Nature of the Dispute; Member vs. Associated Person RFPRF.SF.NTATTON OF PARTTFS Claimant, Tucker Anthony Incorporated n/k/a RBC Dain Rauscher, Inc., hereinafter referred to as "Claimant", was represented by Karl L

Award NASD Dispute Resolution In the Matter or the Arbitration between: Names of the Claimants Case Number: 02-00103 Samual Bogorad and Dorothy Bogorad (deceased) CO-TTEES Names of the Respondents Hearing Site: Boca Raton, Florida Oscar Gruss & Son, Inc. Christopher Fong iNature 01 tne uispute: Customer vs. jviemoer ana Associated jrerson. REPRESENTATION OF PARTIES For Samual Bogorad and Dorothy Bogorad (deceased) Co-Trustees ("Bogorad"), he

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 02-00094 Janice L. Sullivan, claimant vs. AAL Capital Management Corporation and John Swenson, respondents. ATTORNEYS: Claimant appeared pro se, Peoria, AZ. For Respondents appeared in-house counsel, Christopher W. Brownell, Esq., Appleton, WI. DATE FILED: January 7, 2002 CASE SUMMARY: Claimant alleged that respondent John Swenson advised her to invest in funds that were unsuitabl

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant A.K. Ibrahim 97-05729 Name of Respondents Fidelity Brokerage Services, Inc. Spear, Leeds & Kellogg REPRESENTATION Claimant A.K. Ibrahim ("Claimant") appeared pro se. Respondent Fidelity Brokerage Services, Inc. ("Fidelity") was represented by Joseph A. Ingrisano, Esq., Kutak Rock, Washington, DC. Respondent Spear, Leeds & Kellogg ("SLK") was represe

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant William Klas and 97-05728 Name of Respondent J.W. Barclay & Co,, Inc. Edgar Alacan Michael Prestia REPRESENTATION OF PARTIES William Klas ("Claimant") was represented by Richard A. Lind, Esq. and William L. Davidson, Esq., Lind, Jensen & Sullivan, Minneapolis, Minnesota. J.W. Barclay & Co., Inc. ("RespondentBarclay") and Edgar Alacan ("Respondent Al

DATE: 11/18/98 TIME! 10:09 AM TO: Phyllis Karasov « +J. or »i-JHii"-< :.i-i:»*.L r v. - ' '/,' \ c ' AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant; Timothy Montgomery and 97-05713 Name of Respondent Dain Rauscher, Inc. f/n/a Dain Bosworth, Inc. Brad Wheelock REPRESENTATION OF PARTIES Timothy Montgomery ("Claimant") was represented by David A. Genelly, Esq., Fishman, Merri

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Padmasen Kanani v. Block Trading, Inc. and Chris Block Case Number: 97-05712 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant Padmasen Kanani, hereinafter referred to as "Claimant": Anthony B. Scram, Esq. of the Law offices of Anthony Scram, San Antonio, Texas. Respondent Block Trading, Inc.. hereinafter referred to as "Block Trading": Block Trading, Inc.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02406 Wall Street Access, Claimant vs. Raymond Plate, Respondent. ATTORNEYS: Claimant, Wall Street Access ("Claimant"), appeared through its counsel, Denis P. Kelleher, Esq., of the firm of Kelleher, Leone & Schwartz LLP, New York, NY. Respondent, Raymond Plate ("Respondent"), did not respond to the claim. DATE FILED: June 7, 2000. CASE SUMMARY: Claimant alleged that it processed a

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Randy Scott Schneider and 97-05711 Name of Respondent NatCity Investments. Inc. REPRESENTATION OF PARTIES Randy Scott Schneider ("Claimant") was represented by David Zales. Esq., Coudert Brothers. New York, New York. NatCity Investments, Inc. ("Respondent") was represented by Anthony J. O'Malley, Esq., Vorys, Sater, Seymour