NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-01666 Dime Securities, Inc., claimant vs. Samson Gluck, respondent. ATTORNEYS: For Claimant appeared Thomas S. Baylis, Esq., of the firm Cullen and Dykman, Garden City, New York. Respondent did not respond to the Statement of Claim. DATE FILED: April 20, 2000 CASE SUMMARY: Claimant alleged that respondent purchased options and the checks which were deposited were returned for i

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Henry Thon and Minna Thon and Henry and Minna Thon IRA (Claimants) v. Josephthal & Co., Inc. and Josiah C. Thomas (Respondents) Case Number: 03-08354 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Henry Thon and Minna Thon ("Thon") and Henry and Minna Thon IRA ("Thon IRA") hereinafter collec

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marian Kamath and Sharrel Kamath v. Joanne V. Graham and Merrill Lynch, Pierce, Fenner & Smith Inc. Case Number: 03-08353 Hearing Site: New York, New York Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Marian Kamath ("M. Kamath") and Sharrel Kamath ("S. Kamath") hereinafter collectively referred to as "Claimants": Theo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Michael Thomas Miller Claimant vs. Foxhall Group Securities, Inc. Adam Goddard Matthew Yetman Respondents AWARD Case #89-03228 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 16, 1989 Claimant Michael Thomas Miller alleged the Respondents Foxhall Group Securities, Inc., Adam Goddard, Matthew Y

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08351 Bart O'Sullivan, Claimant v. Fidelity Brokerage Services, LLC and Fidelity Investments, Inc., Respondents. ATTORNEYS: For Claimant, Bart O'Sullivan, ("Claimant"), appeared pro se, Lebec, CA. For the purposes of the telephonic hearing, Claimant appeared through Steven L. Miller, Encino, CA. Respondents, hereinafter referred to as "Respondents": For Respondent, Fidelity Brokerage Ser

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08350 Kenneth A. Kilborn and Linda C. Kilborn, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: ~ ~ ~ " For Claimants Kenneth A. Kilborn and Linda C. Kilborn (collectively "Claimants") appeared Wm. Jemison Minis, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lynch,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: George Goldman (Claimant) v. Adirondack Trading Group, LLC., and Bradley Hayslette (Respondents) Case Number: 03-08349 Hearing Site: New York City, New York Nature of the Dispute: Associated Person v. Members and Associated Person REPRESENTATION OF PARTIES Claimant George Goldman hereinafter referred to as "Claimant" appeared pro se. Previously represented by Edward J. Toscano,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants The Lois H. Siegel Revocable Trust Lois H. Siegel Name of the Respondent Oppenheimer & Company, Inc. Case Number: 03-08346 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For The Lois H. Siegel Revocable Trust and Lois H. Siegel, hereinafter collectively referred to as "Clai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-08345 Gwen G. Sims Names of the Respondents Hearing Site: Atlanta, Georgia Washington Square Securities, Inc. John A. Locke Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Gwen G. Sims, hereinafter referred to as "Claimant": Steve J. Gard, Esq. and Brian Smiley, Esq., Gard Smiley Bishop

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-08344 Barbara Weiner, individually and on behalf of the following accounts: Barbara Weiner IRA Dr. Ivan J. Weiner and Mrs. Barbara Weiner TIC Fischman, Weiner, Wexler, and Fischman Profit Sharing Plan FBO Ivan J. Weiner 01/05/89 Fischman, Weiner, Wexler Basic FBO Ivan J. Weiner MD Dr. Ivan J. Weiner IRA Names of the R