AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Arthur McEviiy, (Claimant) vs. South Richmond Securities Inc., Rickel & Associates, Inc., Paul Russo, Barbara Hosman, and Michael J. Sedlak, (Respondents) Case Number: 97-01176 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Arthur McEvily, hereinafter referred to as "Claimant": Dan A. Druz, Esq., a sole practitioner, Manasquan, NJ. Respondent, Sout

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01173 Joseph W. Eaton and Helen Eaton, claimants vs. David Mellilo, Vincent Padulo, Schroeder Wertheim & Co. Inc., Coopers & Lybrand and Euro-Atlantic Securities, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se., Pittsburgh, PA. Respondents David Mellilo, Vincent Padulo and Euro-Atlantic Securities, Inc., did not respond to the Statement of Cl;um. R

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Carol A. Rubin Case No. vs. 97-01165 Names of Respondents M.H. Meyerson & Co., Inc. James Doolan REPRESENTATION For Claimant Carol A. Rubin ("Claimant") appeared Jeffrey S. Wasserman, Esq., a private practioner with offices located in Valley Stream, New York. For Respondents M.H. Meyerson & Co., Inc. ("Meyerson") and James Doolan ("Doolan"), hereinafter

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01163 Steven Hansen, claimant vs. Giuseppe (Joe) Domenico Bonetti and Greenway Capital Corporation, respondents. ATTORNEYS: Claimant appeared Pro Se, West Palm Beach, FL. For Respondent Giuseppe Bonetti appeared Michael Utilla, Esq., of the law firm Mure 1 & Carone, P.C., Brooklyn, NY. Respondent Greenway Capital Corporation did not respond to the

J NASD REGULATION, INC, AWARD In the Matter of the Arbitration Between Names of Claimants Richard & Catherine D'Andrea, JTTEN Case No. 97-01162 Names of Respondents Lawrence J. Penna Joseph Bernard Dellabeila Vyacheslav Podlubny REPRESENTATION Claimants Richard and Catherine D'Andrea ("claimants") appeared pro se. For respondent Lawrence J. Penna ("Penna") appeared M. David Sayid, Esq. of the law offices Say id and Associates loc

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATI6N OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01160 Tom and Susan Allen, claimants v. Frank J. Spinelli, Jr., respondent. ATTORNEYS: Claimants, of Bellbrook, Ohio, appeared pro se. For Respondent appeared Charles M. O'Rourke, Esq. of Garden City, NJ. DATE FILED: 3/6/97 ~ ~ " CASE SUMMARY: Claimants alleged misrepresentation, omission of material fact and negligence in the sale of stock. Claim Data

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Estate of Shirley Jacobs & Benjamin Jacobs Trust Jack Jacobs as Executor and Trustee Case No. vs. 97-01159 Name of Respondents Dean Witter Reynolds, Inc. William Savino Frank M. Alecci REPRESENTATION Claimant Shirley Jacobs ("Claimant") appeared on behalf of herself and Benjamin Jacobs Trust ("Jacobs Trust")(collectively "Claimants"). After Cla

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATIpft OF SECURITIES DEALERS REGULATION. CASE: 97-01157 Francis Volkmer t claimant vs. Chatfield Dean & Co. Inc. and Bismarck Badilla, respondents. ATTORNEYS: For Claimant appeared Stephen A, Baker, Esq., of the law firm Allan & Shipp, P.A., St. Petersburg, FL. For Respondent Chatfield Dean & Co. Inc., appeared in-house counsel, Christa D.Taylor, Esq., Greenwood Village, CO. For Respondent Bismarck Ba

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of [he Arbitration Between Name of Claimant William J. Ribbing and < >7-01155 Name of Respondent IDS Life Insurance Company American F.xprcss Financial Advisors, Inc. Paul Klostcrman REPRESENTATION OF PARTIES William J. Hibbing {"Claimant") was represented by Patrick J, Neaton. l-sq. and Matthew J. Malctta. Esq., Chamberlain. Neaton & Johnson, Way/ala. Minnesota. I

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-01839 Ira Fischer, Claimant vs. E*TRADE Securities, Inc. Respondent. ATTORNEYS: Claimant, Ira Fischer ("Claimant"), appeared Pro Se, Hastings, NY. Respondent, E*TRADE Securities, Inc., ("Respondent"), appeared through its in-house counsel, Bob Salvador, Menlo Park, CA. DATE FILED: May 2, 2000 CASE SUMMARY: Claimant alleged that Respondent failed to properly execute his order for