Award NASD Dispute Resolution In the Matter of the Arbitration Between: U.S. Bancorp Piper Jaffray Inc., Claimant v. Francis Hartley-Edwards, Respondent Case Number: 01-07131 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Brian S. Hellberg U.S. Bancorp Piper Jaffray Inc. Minneapolis, Minnesota For Respondent: Francis Hartley-Edwards Greenbrae, California , CASE INFORMATION Statement of Claim filed on or a

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gerald and Norma Menard (Claimants) v. Merrill Lynch, Pierce Fenner & Smith, Incorporated, Gregory B. Burns and Steven Dombroske (Respondents) Case Number: 01-07128 Hearing Site: Albany, New York Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Gerald and Norma Menard, hereinafter referred to as "Claimants": William L.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-07125 Dennis A. Wallace, claimant vs. Firstrade Securities, Inc., respondent. ATTORNEYS: Claimant appeared pro se, Albuquerque, NM. For Respondent appeared Peter E. Gschweng, Vice President and Director of Compliance, Flushing, NY. DATE FILED: December 27, 2001 CASE SUMMARY: Claimant alleged that respondent ignored communications regarding trading in claimant's account. Claimant cont

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eddy Lora, (Claimant) vs. M.H. Meyerson & Co., Inc. and Joseph Messina, (Respondents) Case Number: 01-07121 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Eddy Lora, hereinafter referred to as "Claimant", appeared pro se. Respondents, M.H. Meyerson & Co., Inc. ("Meyerson") and Joseph Messina ("Messina"), hereinafter collectively referred to as "Respondents": Ph

Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Name of Claimant Case Number: 01-07120 James Cranos Names of Respondents Hearing Site: Tampa, Florida Robert W. Baird & Co., Inc. Morton E. Wolverton Michael J. Wolverton REPRESENTATION OF PARTIES For James Cranos, hereinafter referred to as "Claimant": Michael S. Taaffe, Esq., Abel, Band, Russell, Collier, Pitchford & Gordon, Chartered, Sarasota, Florida. For Respon

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Russell P. Green, (Claimant) vs. Northridge Capital Corporation and Michael S. Weiner, (Respondents) Case Number: 00-02390 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Russell P. Green, hereinafter referred to as "Claimant": Eric J. Sussman, Esq., a sole practitioner, Garden City, NY. Respondents, Northridge Capital Corporation ("Northridge") and Mi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fabio de Felice (Claimant) v. U.S. Bancorp Piper Jaffray, Inc., Christopher Corsiglia, and Datek Online Brokerage Services, LLC (Respondents) Case Number: 01^071 18 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Claimant Fabio de Felice ("de Felice'*) hereinafter referred to as "Claimant" appeared pro

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: James P. Sears and Doris J. Sears, Trustees of the Sears Revocable Living Trust, Claimant v. Wells Fargo Securities, Inc. and Frank Colatruglio, Respondents Case Number: 01-07117 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondents: Steven L. Miller, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Keith F. Knight (Claimant) v. JJ.B. Hilliard, W.L. Lyons, Inc., PNC Financial Services, Inc., and Sara McVey (Respondents) Case Number: 01-07116 Hearing Site: Columbus, Ohio Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Keith F. Knight ("Knight") hereinafter referred to as "Claimant": Thomas R. Bopeley, Esq., Micheli

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mflmp of ffte Claimants rasp Number: 01-071 15 R. Rosemaladi and Catharina Rosemaladi, Name of the Respondents Hearing Site: Houston, Texas First Union Securities, Inc. and Paine Webber, Inc. Claimants R. Rosemaiadi and Catharina Rosemaladi., hereinafter referred to as "Claimants," were represented by Annette M. Henry, Esq. located in Houston, Texas. Respondent First Union S