NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02073 Timothy J. LoBello, claimant vs. TD Waterhouse Investor Services, Inc. and Erik Shvartsman, respondents. ATTORNEYS: Claimant appeared Pro Se,.Los Angeles, CA. For Respondents appeared in-house counsel, Janis Campanella, Esq., New York, NY. DATE FILED: May 18, 2000 CASE SUMMARY: Claimant alleged that respondents notified him that failure to satisfy margin requirements woul

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Bruno Polverini Frances Cashell 97-03093 Name of Respondents Prudential Securities, Inc. Mark E. Donovan REPRESENTATION For Claimants Bruno Polverini ("Polverini") and Frances Cashell ("Cashell") (collectively "Claimants") appeared Christopher T. Vernon, Esq., of the law offices Treiser, Kobza & Volpe, Chtd., located in Naples, Florida. For Res

ARBITRATION AWARD NASD REGULATION, INC, OFFICE OF DISPUTE RESOLUTION In the Mailer of the Arbitration Between Name of Claimants. Stanley Abramson and Lynda Abramson JT/WROS 97-03088 Name of Respondent David Stein REPRESENTATION For Claimants: Stanley Abramson and Lynda Abramson JTAVROS ("Abramson") were represented by Stanley Abramson, Skokie, Illinois. . . - . - . . For Respondent: David Stein appeared pro se. CA

AWARD NASD Regulation, Inc. In the Matter of Arbitration Between Dr. Serge Francois, Claimant, and . No. 97-03086 Dallas Research and Trading Inc., Steve Christenson and Jerry F. Hightower, Jr. Respondents. REPRESENTATION OF PARTIES Claimant, Dr. Serge Francois, ("Claimant") was represented by Michael G. O'Neill, Esquire of Michael G. O'Neill, P.C., located in Dallas, Texas. Respondent, Dallas Research and Trading, Inc. appeared pro se.

Award NASD Dispute Resolution, Inc. In the Matter o f the Arbitration Between: Richard Di Matteo. Individually and as Beneficiary ol" the Richard Di Matteo IRA and Anuslusia Di Matteo, individually and as Beneficiary of the Anuslasia Di Matteo IRA, Claimants vs. Victor Wang, Respondent. Case Number 97-03085 Hearing Site: Via Conference Call REPRESENTATION OF PARTIES Claimants, Richard Di Matteo, individually and us Beneficiary of the Richard Di Matteo I

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: William M. Hall, Claimant v. Cortlandt Capital Corporation, (f/k/aGreenway Capital Corporation), Leo Glassman, Joe Ricci, Joseph Guccione, Fred Luthy, John Margiotta, David S. Finkel, David Wong, Alan J. Mandel, and Bernard Kolwalski, Respondents Case Number: 97-03082 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant William M. Hall: For Resp

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Estate of Paschal L. Maisto 97-03076 Name of Respondents Charles Koubek Kenneth Neil Greenbaum REPRESENTATION For Claimant Estate of Paschal L. Maisto ("Claimant") appeared Robert P. Maisto. For Respondent Charles Koubek ("Koubek") appeared David A. Ghen of the law offices of Bachner & Ghen located in New York, New York. Respondent Kenneth Neil Gree

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Robert D. Monroe, Claimant, v. No. 97-03072 A.G, Edwards & Sons, Inc., Respondent. REPRESENTATION OF PARTIES Claimant Robert D. Monroe ("Claimant") was represented by Robert M. Mihelich, Esq. of Alan C. Olson & Associates, S.C. located in New Berlin, Wisconsin. Respondent A.G. Edwards & Sons, Inc. ("Respondent") was represented by Phyllis A. Har

AWARD NASD Regulation, Inc. Office of Dispute'Resolution In the Matter of the Arbitration Between Name of Claimant Ting Liang Zhang and Mei Ping Yu and 97-03067 Name of Respondent Josephthal Lyon & Ross, Inc. n/k/a Josephthal & Company, Inc. Robert C. Phillip REPRESENTATION OF PARTIES Ting Liang Zhang and Mei Ping Yu ("Claimants") were represented by Michael P. Cillo, Esq., Davis & Ceriani, P.C., Denver, Colorado. Josephthal Lyon & Ross,

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimants Bernard Feldman, Susan Feldman, and Zane Feldman v. Arbitration No. 97-03060 Name of Respondents The Harriman Group, Inc., Thomas Fede, Shane Ferras, John Simonetti, Stephen Palumbo, Brian Scanlon, and Mark Hanna REPRESENTATION For Claimants: Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California For Respondents