NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Bruce E. Swinnie 97-04296 Name of Respondent First Union Brokerage Services, Inc. REPRESENTATION Claimant Bruce E. Swinnie ("Claimant") appeared pro se. For Respondent First Union Brokerage Services, Inc. ("Respondent") appeared Stacy C. Taylor of the law offices of Woods Rogers & Hazlegrove, located in Richmond, Virginia. CASE INFORMATION Claimant'

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: William and Michelle Kay, Claimants vs. Valery C. Scott, Respondent/Counter-Claimant . Case Number: 97-4295 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimants. William and Michelle Kay ("the Kays"), hereinafter collectively referred to as "Claimants": Edward Cochran. Esq., Shaker Heights. Ohio. Claimants were first represented by Gerald Marcus, Esq. , Hamden Connecticut

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04294 John Block, claimant vs. Ceres Securities, Inc "'V a Ameritrade, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Sudbury, MA. For Respondent appeared its Vice President, James A. Ricketts, Omaha, NE. DATE FILED: September 2, 1998. CASE SUMMARY: Claimant alleged that he utilized respondent's Internet screens to buy and subsequently canc

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Jed D. Chmara Case No. 97-04293 Consolidated with Case No. 97-04268 Name of Respondents C.A. Atlantic Securities Inc. William A. Lovely, Jr. James A. Dixon William Pappafotopoulos James D. Winchester Victor Tokarenko Greg Stuart REPRESENTATION For Claimants Jed D. Chmara, Gary Glusgol and Jessica Chmara ("Claimants"), appeared Ro

•*• AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Richard Shepherd, Claimant, vs. NASD No. 97-04288 Kengsington Wells Incorporated, Lee Savit and Edwin L. Lawrence Respondents. REPRESENTATION OF PARTIES Claimant was represented by Robert B. Van Cleave, Esq., 10990 Quivira Road, Suite 200, Overland Park, Kansas 66210. Respondent Kengsington Wells Incorporated is in bankruptcy and did not appear at the he

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Nam P. of Claimant (s) Anis B. Karam Arbitration No. 97-04285 Name of Respondent (s ) Charles Schwab & Co., Inc. REPRESENTATION For Claimant: Mark S. Davidson, Esq., Williams, Kastner & Gibbs PLLC, Seattle, Washington For Respondent: Steven Lanum, Esq., Charles Schwab & Co., Inc., San Francisco, California CASE INFORMATION Statement of Claim filed: August 28

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04281 ' Joseph D. Walsh'and OritKozlowski Walsh, claimants v. Liberty Securities Corp., respondent. ATTORNEYS: For claimants appeared Randy C. Schustal, Esq. - Brooklyn, NY. For respondent appeared Bruce Ripepi - Purchase, NY. DATE FILED: 9/2/97 CASE SUMMARY: Claimants alleged fee was charged without consent. Claim Data Award Data Claim: $5,000.00 Awar

RPR.14.1999 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Compu-Choice n/k/a Choice Distributors, Inc. 97-04279 Names of Respondents Sun Consolidated Securities, Inc. Stephen Staffieri REPRESENTATION For Claimant Compu-Choice n/k/a Choice Distributors, Inc. ("Compu-Cboice"): Russell L. Forkey, Esq. of Russell L. Forkey, P.A., Fort Lauderdale, Florida. For Respondent Sun Consolidated Securit

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Susan P. Norton 97-04277 Names of Respondents Shochet Securities, Inc. Leila Shuminer Diane Dymek Mark Eshleman REPRESENTATION For Claimant: Lawrence L. Klayman, Esq. and Bernard L. Egozi, Esq. of Lawrence L. Klayman, P.A., Boca Raton, FL. Appearing as co-counsel was David A. Weintraub, Esq. of David A. Weintraub, P.A,, Ft. Lauderdale, FL. F

AWARD NASD REGULATION. INC., In the matter of the Arbitration Between Name of Claimant Keith B. Smith Defined Benefit Plan, Keith B.SmithTTEE v. Arbitration No. 97-04272 Name of Respondent Smith Barney, Inc., and Lynda Svenson REPRESENTATION For Claimant: Jeff Dennis Ferentz, Esq. Greenbaum & Ferentz, LLP Newport Beach, California For Respondent: Smith Barney, Inc. Ellen Slipp, Esq. Smith Barney, Inc. New York, New Yo