Award NASD Dispute Resolution, Inc. In the Matter of the .Arbitration Between Names of Claimants John Cloud and Yvonne Cloud Case No. 99-05771 Names of Restwndents Regions Investment Corporation, Inc. Burton A. Linthicum REPRESENTATION OF PARTIES John Cloud and Yvonne Cloud, hereinafter collectively referred to as "Claimants", appeared pro se. For Regions Investment Corporation, Inc. ("Regions") and Burton A. Linthicum ("Linthicum"),

Award NASD Dispute Resolution, Inc. In the Matter of Arbitration Between: Jim Derowitsch (Claimant) vs. Mutual Securities, Inc., Cowles, Sabol & Co., Inc., Arthur M. Pagnotta and Ray L. Morton (Respondents). Case Number: 99-05761 Hearing Site: Seattle, Washington. RKPRESENTATION OF PARTIES Claimant Jim Derowitsch: Katherine Hendricks, Esq. Hendricks & Lewis Seattle, Washington Respondents Mutual Securities. Inc., and Cowles, Sabol & Co., Inc.: C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles Schwab & Company, Inc., Claimant Vs. William B.Taylor, Respondent. Case Number: 99-05744 Hearing Site: Cincinnati, Ohio REPRESENTATION OF PARTIES Claimant Charles Schwab & Company, Inc. ("Schwab"), hereinafter referred to as "Claimant", was represented by Stephen S. Berkeley, Esquire, of Kane & Fischer, Ltd., Chicago, Illinois. Respondent Willia

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Thomas J. Zaleski and 99-05733 Scottsdale, Arizona Name of Respondent Wells Fargo Securities, Inc. REPRESENTATTON OF PARTIES Thomas J. Zaleski ("Claimant") was represented by Carole A. Cummers, Esq., Haralson, Miller, Pitt & McAnally, PLC, Tucson, Arizona. Wells Fargo Securities, Inc. ("Respondent") was represented by Joseph T. Clees, Esq. and P

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of Claimant Tim and Judy Frega Case No. 99-05720 Name of Respondent Suretrade, Inc. Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Tim and Judy Frega, hereinafter referred to as "Claimant": David S. Maglich, Esq., Fergeson, Skipper, Shaw, Keyser, Baron, & Tirabassi, P.A., Sarasota, Florida. For Suretrade, Inc., hereinafter referred to as "Respo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John J. Ward, III. (Claimant) vs. Citicorp Securities, Inc.. (Respondent) Case Number: 99-05705 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, John J. Ward, III, hereinafter referred to as "Claimant": Leonard B. Pack. Esq., a .sole practitioner. New York, NY and David B. Wechsler, Esq., Wechsler Bursky & Cohen, LLP, New York, NY. Respondent, Citicorp

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Glenn Howard Williams and 99-05701 Minneapolis, Minnesota Name of Respondents Baxter, Banks & Smith, Ltd. Eliott George Downs REPRESENTATION OF PARTIES Glenn Howard Williams ("Claimant") was represented by Christopher K. Larus, Esq., Larkin, Hoffman, Daly & LJndgren, Ltd., Bloomington, Minnesota. Baxter, Banks & Smith, Ltd. ("Respondent BBS"

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Helen Rocca & Ara Vartabedian v. Broad Street Securities, Inc. Case Number: 99-5688 Hearina Site: Southfield, Michigan REPRESENTATION OF PARTIES Claimants, Helen Rocca ("Rocca") and Ara Vartabedian ("Vartabedian"), hereinafter collectively referred to as "Claimants": David H. Miller, Esq., Miller & Shensky, Bloomfield Hills, Michigan. Respondent, Broad Street Securities, I

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Susan Bartha and Rod Bartha, (Claimants) v. Bryn Mawr Investment Group, Inc., Briar Creek Investments, GM Financial Corporation, LLC, Howard Flesher, Robert M Montani, Jr., Michael T. Walsh, William Robert Frazier, Glenn Matthews, Ronald Johnston,Virginia Gordon, and Tonino Labella, (Respondents) Case Number: 99-03939 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTI

NASD DISPUTE RESOLUTION AWARD N.ASD DISPUTE RESOLUTION. INC. CASE: 99-05668 John A. Gianino, claimant vs. Ameritrade, Inc. respondent. ATTORNEYS: Claimant appeared Pro Se, Lowell. MA. For Respondents appeared, in-house counsel, James J. Vihstadt, Esq., Bellevue. NE. DATE FILED: December 21, 1999 C.\SE SUMMARY: Claimant alleged that respondent sold 127 shares of SPLN to satisfy a margin call even though claimant had already sent in a check fulfilling