AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant i Elmer W. Heinel vs. 97-05577 Name of Respondents Russell, Rea, Zappala & Gomulka Holdings, Inc. RRZ Investments, Ltd. Charles Anthony Gomulka Gregory Zappala REPRESENTATION Claimant Elmer W. Heinel ("Claimant") was represented by John N. Salla, Esq., Philadelphia, Pennsylvania. Respondents Russell, Rea, Zappala & Gomulka Holdings, Inc., tr

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant William R. Wilson and 97-05576 Name of Respondent J.C. Bradford & Co. Vito S. Salvato REPRESENTATION OF PARTIES William R. Wilson ("Claimant") was represented by Robert A. Klingler, Esq., Cincinnati, Ohio. J.C. Bradford & Co. ("Respondent J.C. Bradford") and Vito S. Salvato ("Respondent Salvato") were represented by Linda Gibbons Willis, Esq., J.C. Bradford

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Abigail B. Wolf IRA Account of Abigail B. Wolf 97-05575 Name of Respondents First Allied Securities, Inc. John J. McGarry REPRESENTATION For Claimants Abigail B. Wolf ("Wolf") and the IRA Account of Abigail B. Wolf, appeared Jack B. Cobetto, Esq., of the law offices of Reed, Smith, Shaw & McClay, LLP, located in Pittsburgh, Pennsylvania. For Re

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant W. Russell Lee, Jr. vs. Case No. 97-05574 Name of Respondents Legg Mason Wood Walker, Inc. John Pliakas Andrew Bowden REPRESENTATION For Claimant W. Russell Lee, Jr. ("Claimant") appeared Philip M. Giordano, Esq. of the firm Giordano & Champa, located in Boston, Massachusetts. For Respondents Legg Mason Wood Walker, Inc. ("Legg Mason"), John Pli

OCT.£5.1998 4:58PM NftSD REGULfiTION FL NO.651 P.16 NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Daniel Weinberg Case No. 97-05572 Names of Respondents Gruntal & Co., Inc. Scott Leventhal REPRESENTATION OF PARTIES For Claimant Gary A, Feder, Esq. of the law firm of Feder & Dunn, PA. Deerfield' Beach, Florida. For Respondents Gruntal & Co., Inc. ('Gruntal') and Scot

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Robert Ehrenspeck, Ronald Kilbride, Joseph Digiso, and Joseph Sangiorgio, ("Claimants") vs. William Furey, James J. Donovan, Marlon D. Tropeano, Michael Bowers, Briarwood Investment Counsel, and Hanifen Imhoff Clearing Corp., ("Respondents") Case Number: 97-05569 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimants Robert Ehrenspeck ("Ehrenspeck"), Ronald Kilbride ("Kilbride

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 02-00085 Neil K. Rector, claimant vs. Charles Schwab & Company, Inc. and Schwab Retirement Plan Services, respondents. ATTORNEYS: Claimant appeared pro se, Columbus, OH. For Respondents appeared in-house counsel, Steve Murphy, Esq., San Francisco, CA. DATE FILED: January 4, 2002 CASE SUMMARY: Claimant alleged that respondents failed to transfer proceeds of his 401(k) account to a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carmelo J. Sita (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Warren Greenspan (Respondents) Case Number: 02-00082 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES f- Claimant Carmelo J. Sita ("Sita") hereinafter referred to as "Claimant" appeared pro se. Previousl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf thp rifli'm^pM Paw Mnrnhpr- 02-00077 Raymond Comett, Jr. IRA Jean Comett IRA Ralph W. Fox IRA Faye G. Fox IRA Robert F. Fulp IRA Thomas E. Hoke IRA RedaW. JurneyIRA Zena Farris Shaver IRA Edward C Siceloff IRA Jeannette M. Siceloff IRA n f the Respondents Hiring Sitf Charlotte, NC Pensco Pension Services and Tom W. Anderson RFPRFSFMTATTIHV Of

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Ken and Lisa Norcross and 00-02402 Kansas City, Missouri Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION OF PARTIES Ken and Lisa Norcross ("Claimants") were represented by Diane A. Nygaard, Esq., The Nygaard Law Firm, Kansas City, Missouri. Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") was represented