NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-00659 Robert Long, claimant vs. Kevin Davis , respondent ATTORNEYS: For Claimant appeared Paul W. Thomas, Esq., Carlsbad, CA. Respondent did not respond to the Statement of Claim. DATE FILED: February 16, 1999 CASE SUMMARY: Claimant alleged respondent failed to repay the balance of a settlement agreement. ARBITRATOR'S REPORT: The note does not appear to allow for recovery of pr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-04974 Harold Harkins, as personal representative of the estate of Barbara Home Bell Names of the Respondents Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Ann Mitchell REPRESENTATION OF PARTIES For Harold Harkins, as personal representative of the estate of Barbara Home Bell, hereinafter referred to as "

N.A.S.D. AWARD NA-nONAL ASSOCIA-nON OF SECURITIES DEALERS In ttie Matter of tlie Aibitration Between Name of Claimant Herbert Fox Case vs. #93-04305 Name of Respondents Fahnestock & Co., Inc. Joim Albeit Moore REPRESENTATION For Claimant, Herl>ert Fox ("Claunant"), Joan M. Markey, Esq., located in New York, New York. For Respondent, Fatmestock & Co., Inc. ("Fahnestock") and John Albert Mcxire ("Mcmre"), collectively ("Respondents

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants/ Counter Respondents Invin L. Jacobs, Alexandra Jacobs, Randi F. Jacobs-Lebowitz, Howard E. Grodnick, Mark E.Jacobs, Trisha L.Jacobs, Jacobs Trading Company, Operational Bass, Inc., Marshall Financial Group, Inc., and Rodney. P. Bunvell v 01-04970 Minneapolis, Minnesota Respondent/ Counter Claimant Donaldson Lufkin & Jenette Securitie

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Robert R. & Joan Witt Trust, et al., (Claimants) vs. Charlotte S. Cohen & Company, Inc., Charlotte S. Cohen, Ronald L. Swanson, Huntleigh Securities Corporation, and Longrow Securities, Inc., (Respondents). Case Number: 95-02769 Hearing Site: San Diego, Califomia. REPRESENTATION OF PARTIES Robert R. & Joan T. Witt Trust UA DTD 09/10/93, Robert R. Witt and Joan T. Witt Trustees, he

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul R. Schifano, Claimant v. WM Financial Services and Heather Holland, Respondents Case Number: 01-04968 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Paul R. Schifano In Propria Persona Campbell, California For Respondents: Richard B. Davis, Esq. WM Financial Services, Inc. Chatsworth, California CASE INFORMATION Statement of

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-01336 Max Fleeter, Claimant vs. Prudential Securities, Inc. and Robert Zucker, Respondents. ATTORNEYS: For Claimant, MaxFleder, ("Claimant"), appeared Mark A. Tepper, Esq., FortLauderdale, FL. For Respondents, Prudential Securities, Inc. and Robert Zucker, ("Respondents"), appeared Joseph Dolcimascolo, Esq. First Vice President and Associate General Counsel, New York, NY. DATE FILED: M

Aifvard NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Thomas R. Gleim vs. Case No. 99-00666 Name of Respondents E.C. Capital, Ltd. Greg Small Vmcent J. Albanese Jef&ey Supinsky REPRESENTATION OF PARTIES Claimant, Thomas R. Gleim, hereinafter referred to as "Claimant": Mark D. Schorr, Esq., Stems & Weinroth, Trenton, New Jersey Respondents, E.C. Capital, Ltd. ("ECC"), Greg Small ("Small"),

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Barry M. Lasner, (Claimant) vs. Advest, Inc. and Carol Silverman, (Respondents) Case Number: 99-00981 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Barry M. Lasner, hereinafter referred to as "Claimant": Robert L. Herskovits, Esq., Bachner & Gehn, New York, NY. Respondents, Advest, Inc. ("Advest") and Carol Silverman ("Silverman"), hereinafter collec

nWSttVk NASD Regulation, Inc. in the Matter of the Arbitration Between: Lorraine Miller, Cluimant v. Gilder Gapon Howe & Company and Neil J. Gagnon, Respondents. CaseNtimber: 99-00709 Hcariny Site: San Diego, Califomia REPRESENTATION OF PARTIES For Claimant: Paul W. Thomas Esq. Paul W. Thomas and Associates Carlsbad. Califomia For Respondents: Richard B. Dannenberg, Esq. Lowey Dannenberg Benpoiad & Selinger, P.C White Plains, New Yor