Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Susan LeCave Case No. 99-05641 St. Louis, Missouri Royal Alliance Associates, Inc.: Rickie M. King; Peter E. Dolan: Thomas G. Briggs; Michael S. Ruben; Scott D. Bensinger; and. Plaza Financial Group, Inc. Claimant Susan LeCave ("LeCave") was represented by L. Steven Goldblatt, Esq., of the firm of Kodner, Watkins, Muchnick & Dunne, L.C., located in St. Louis. Missou

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John J. Capodici, (Claimant) vs. Sturdivant & Co., Inc. and Albert A. Sdirdivant, (Respondents) Case Number: 99-05770 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, John J. Capodici, hereinafter referred to as "Claimant": Carl R. Woodward, III, Esq., Carella, Byrne, Bain, Gilfillan, Cecchi, Stewart and Olstein, Roseland, NJ. Respondents, Sturdivant & Co.,

Award NASD Dispute Resolution, Inc. In die Matter of the Arbitrafion Between: Stanley and Barbara Migdol, (Claimants) vs. Kirlin Securities, Inc. and Andrew Elbogen, (Respondents) Case Number: 99-05737 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Stanley and Barbara Migdol, hereinafter collectively referred to as "Claimants": Anthony J. Hom, Esq., a sole practitioner. New York, NY. Respondents, Kirlin Securities, Inc. ("Kirl

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Jack D. Pitman Jack D. Pitinan - IRA Kay Pitinan - IRA Grassy Creek Hardware P & P Rentals Case No. 99-05724 Names of Respondents J.C. Bradford & Co. Grant Murray REPRESENTATION OF PARTIES For Jack D. Pitman, Jack D. Pitman - IRA, Kay Pitman - IRA, Grassy Creek Hardware, and P & P Rentals, hereinafter collectively referr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pax Clearing Company (Claimant) v. Harbor Securities, L.L.C, Warren Sulmasy, and Jayme Dorrough (Respondents) Case Number: 99-05721 Hearing Site: New York, New York Nature of the Dispute: Member vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Pax Clearing Company ("Pax") hereinafter referred to as "Claimant": Megan Witzel, Esq. previously Andrew B. David, Es

Award NASD Dispute Resolution, Inc. In the Matter of-the Arbitration Between Name of Claimanl Tower One Limited, Inc. Case No. 99-05712 Name of Respondents HD Brous & Co., Inc. Robert A. Rossi, Jr. Hearing Site: Philadelphia, PA REPRESENTATION OF PARTIES Claimant, Tower One Limited Inc., hereinafter referred to as "Claimant": Dan A. Druz, Esq., Attomey at Law, Manasquan, NJ. Respondents, HD Brous & Co., Inc. ("HD Brous") and Robert A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Namp of the; Claimant Case Number: 99-05711 Donald Levitt Namp nf the Respondent Hearing Site: Washington, D.C. Salomon Smith Bamey, Inc. RF.PRF.SFNTATrON OF PARTTFS Claimant Donald Levitt, hereinafter referred to as "Claimant" was represented by Leonard J. Koenick, Esq., Kivitz & Liplz, LLC, Chevy Chase, Maryland. Respondent Salomon Smith Bamey, Inc., hereinafter referred t

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-05710 Lev lofis, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se., Pismo Beach, CA. For Respondent appeared Mark T. Drooks, Esq. of the firm Bird, Marella, Boxer & Wolpert, Los Angeles, CA. DATE HLED: December 27, 1999 CASE SUMMARY: Claimant alleged that respondent erroneously executed a "buy to cover" order instead of a "buy" order as ins

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-05708 Ramiro Soito, claimant vs. Fidelity Investments Institutional Services, respondent. ATTORNEYS: Claimant appeared Pro Se, Taunton, MA. For Respondent appeared Senior Legal Counsel, Karen O'Toole, Fidelity Investments Inslimtional Services, Boston, MA. Previously represented by Senior Legal Counsel, Andrew Nathanson, Fidelity Investments Institutional, Services, Boston, MA. DAT

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ronald Dean Reece, Claimant vs. U.S. Bancorp Piper Jaffray, Inc., Larry Bull and Gerald Aznoe, Respondent. Case Number: 99-03936 Hearing Site: Salt Lake City, UT REPRESENTATION OF PARTIES Claimant, Ronald Dean Reece (hereinafter referred to as "Claimant"): Norman G. Reece, Jr., Esq., Nielson & Reece, P.L.L.C., 151 North 3 rd Avenue, Suite 204, Pocatello, Idaho 83205-61