Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Helen Crooks, Claimant vs. Hilliard Lyons and Suzanne T. Stavros, Respondents. CafiP Number: 99-05493 H^^rlnq gitgi Lgtii?Yillg, KgPttiffKY REPRESENTATION OF PARTIES Claimant, Helen Crooks, was represented by Andrew J. Stoltmann, Esq., of Maddox, Koeller, Hargett & Caruso, Indianapolis, Indiana. Respondents, Hilliard Lyons, Inc. ("Hilliard Lyons") and Suzanne T. Stavros

Award NASD Dispute Resolution, Inc. In the Matter of die Arbitration Between Name of Claimant John K. Gresham, Jr. Case No. 99-05479 Name of Respondent Dean Witter Reynolds, Inc. REPRESENTATION OF PARTIES For John K. Gresham, Jr. ("Gresham"), hereinafter referred to as "Claimant": J. Fred Spencer, Jr., Esq. of Watkins & Eager PLLC, Jackson, MS. For Dean Witter Reynolds, Inc. ("DWR"), hereinafter referred to as "Respondent": Elizabeth Rob

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Securities, Inc., Claimant v. Robert Perelman, Respondent Case Number: 99-05475 Hearing Site: Los Angeles, California For Claimant: For Respondent: REPRESENTATION OF PARTIES Michael A. Kraft, Esq. Gomberg Kane & Fischer, Ltd. Chicago, Illinois Thomas H. Fehn, Esq. Fields, Fehn Sc Sberwin Los Angeles, Califomia CASE INFORMATION Statem

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Victor Traversa, (Claimant) vs. Chase Investment Services Corp., (Respondent) Case Number: 99-05474 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Victor Traversa, hereinafter referred to as "Claimant", appeared pro se. Respondent, Chase Investment Services Corp., hereinafter referred to as "Respondent": Matthew C. Plant, Esq., Bressler, Amery & Ross, New

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kevin L. Murphy, (Claimant) vs. Salomon Smith Bamey, Inc., (Respondent) Case Number: 99-05473 Hearing Site: New York City, New York REPRESENTATION OF PARTIES Claimant Kevin L. Murphy, hereinafter referred to as "Claimant": Alan L. Sklover, Esq., Sklover, Himmel &. Bernstein, LLP, New York, NY. Respondent Salomon Smith Bamey, Inc., hereinafter referred to as "Respondent": Ellen

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Export International, Inc., Claimant vs. Michael Visbal, Respondent. Case Number: 99-03906 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Export International, Inc., ("Export"), hereinafter referred to as "Claimant": George L. Johnston, Esq., Rancho Cordova, California Respondent, Michael Visbal ("Visbal"), hereinafter referred to as "Respondent": Irving M

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-05470 Merrill, Lynch, Pierce, Fenner, and Smith, Inc., claimant vs. Big Dreams, Inc., and Mitch Chirchick, respondents. ATTORNEYS: For claimant Merrill, Lynch, Pierce, Fenner, and Smith, Inc. appeared James K. Langdon, Esq. of the firm Dorsey & Whitney LLP, Minneapolis, MN. Respondent Big Dreams, Inc. did not respond to the Statement of Claim. Respondent Mitch Chirchick did not res

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Pamela K. Pate Case No. 99-05465 Names of Respondents Southtmst Securities, Inc. Anthony G. Williamson REPRESENTATION OF PARTIES For Pamela K. Pate ("Pate"), hereinafter referred to as "Claimant": William J. Miller, Jr., Esq. of the Law Offices of William J. Miller, Jr., LLC, Tallahassee, Florida. For Southtmst Securities, Inc. ("Southtmst") and

NASD DISPUTE RESOLUTION AWARD NASD DISPLT'E RESOLUTION. INC. CASE: 99-05449 Jagdish K. Malhotra and Neelam Malhotra, Claimants vs. Citicorp Investment Services, Respondent. ATTORNEYS: For Claimants, Jajdish K. Malhotra and Neelam Malhotra ("Claimants"), appeared Gary Malhotra. Esq.. New York, NY. Respondent, Citicorp Investment Services ("Respondent"), appeared through its in-house counsel Jennifer M. Newman, Esq., Long Island City, NY. DATE FIL

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURTIIES DEALERS REGULATION. INC. CASE: 99-05441 Donald Schreiber and Gloria Schreiber, claimants vs. Janney Montgomery Scott and Jonathan Leise, respondents. ATTORNEYS: Claimants Donald Schreiber and Gloria Schreiber ("Claimants"), appeared Pro Se., Devon, PA. For Respondents Janney Montgomery Scott ("JMS") and Jonathan Leise ("Leise"), Paula D. Shaffner, Saul, Ewing, Remick, & Saul, Philadelphia, PA.