NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant GFI Group, Inc. 97-04138 Name of Respondent Nicholas DeMaria REPRESENTATION For Claimant GFI Group, Inc. ("Claimant") appeared John Healy, Vice President for Claimant located in New York, New York. Respondent Nicholas DeMaria ("Respondent") appeared pro se. CASE INFORMATION Claimant's Statement of Claim was filed on August 20, 1997. Claimant's Submi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: DJ Bahl, Claimant vs. E*TRADE Securities, Inc., Respondent. Case Number: 00-02174 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, DJ Bahl, hereinafter referred to as "Claimant": DJ Bahl, Mountain View, California Respondent, E*TRADE Securities, Inc. ("E*TRADE"), hereinafter referred to as "Respondent": Jojiro Takano, Esq., Steefel Levitt & Weiss, Sa

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant A. Kent Johnson ^ 95-03796 Name nf Respondent Joseph Roberts & Co., Inc. Michael Knight REPRESENTATION OF PARTIES A. Kent Johnson ("Claimant") appeared pro se. Joseph Roberts & Co., Inc. ("Respondent Joseph Roberts") and Michael Knight ("Respondent Knight")(collectively as "Respondents") were represented by Paul Bazil, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name nf Claimant Manuk Toroslar 95-03785 Name of Respondents Investors Associates, Inc. South Richmond Securities, Inc. J.J. Morgan & Company Richard Chances John Calabia REPRESENTATION For Claimant Manuk Toroslar ("claimant") appeared Edward Reich, Esq. of Cooperman, Levitt, Winikoff, Levitt & Newman, New York, New York. For Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of ClaimantCs't Paul and Donna Saxonis 95-03781 Name of ResDondentCs) Smith Bamey Shearson, Inc. John W. Britten REPRESENTATION For Claimants, Paul and Donna Saxonis ("Claimants"), appeared James N. DeCoulos, Esq. of DeCoulos & DeCoulos located in Peabody, MA. For Respondent Shearson Lehman Hutton, Inc., ("Smith Bamey"), and John W. Brit

OX27/9& MON Mr^Hr-FAI • NASD NASD Regulation, Irtc, AWARD In the Matter of the Arbitration Between , Name of Claimant Leslie McHugh and 97-04130 Name of Respondent Ash & Co. Incorporated Richard Engelhardt Peter Thomas Chen REPRESENTATION OF PARTIES Leslie McHugh ("Claimant") was represented by Martin M. Berliner, Esq., Berliner Zisser Walter & Gallegos, P.C., Denver, Colorado. Ash & Co. Incorporated ("Respondent Ash") and Richard En

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tiie Matter of the Arbitration Between Nar^e of Claimant Frances R. Campbell 95-02373 Name of Re^ondents Andrew Kwarta Stoever Glass & Co., Inc. llir.PHF.^Ii:NTATION For Claimant, Frances R. Campbell ("CampbeU"): Albert A. Rapopoit, Esq., Boca Raton, Florida. For Respondents, Stoever Glass & Co., Inc. ("Stoever"), and Andrew Kwarta ("Kwarta"): Thomas A. Conniff, Esq., of Cusi

1 N,A,S,D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants The I-Team, Inc. and Richard W, Olson 95-02345 Name nf Respondents Piper Jaffray, Inc, Michael G, Hustad Piper Capital Management, Inc. Piper iaffray, Inc, Institutional Govt, Income Portfolio Piper Jaffray Companies, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on Ma

95-02337 "* N,A.S,D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name nf Claimant Gail M, Stamp Name of Respondents Advest, Inc, Richard Minekime REPRESENTATION Claimant Gail M, Stamp appeared pro se. For Respondents Advest, Inc, and Richard Minekime appeared Barry J, Kronemer, Esq,, in-house counsel for Advest, Inc, Hartford, CT, CASE INFORMATION The Statement of Claim was filed on May

01/08/01 TUB 12:37 FAX NASD REGULATION '41002 NASD REGULATION, INC. AWAB3Bw« In the Matter of the Arbitration Between Ngmc of Claim ant ..* FredWolter vs. NASD Casa No.97-04129 Names of Respondents Oldc Discount Corporation Peter Vrooman gjEPREftENTATlQN For Claimant Fred Wolter (''Claimant") appeared William Kcnney, Esq, located in Fairfax, . Virginia. ...... For Respondents Qlde Discount Corporation ("Olde 11 ) and Pete