NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-01164 English First Foundation, claimant vs. Morgan Stanley Dean Witter Online, respondent. ATTORNEYS: Claimant appeared through its President, Larry Pratt, Springfield, VA. For Respondent appeared in-house counsel, Judith M. Rosenberg, Esq., San Francisco, CA. DATE FILED: March 16, 2000 CASE SUMMARY: Claimant alleged that respondent failed to sell 22 shares of Charles Schwab commo

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Edelgard Almeida Case No. 98-04609 Names of Respondents Mutual Trust Co. of America Securities Jed E. Bandes Joseph Paul Mauer REPRESENTATION OF PARTIES For Edelgard Almeida ("Claimant"): Darren C. Blum, Esq., Hollywood, FL. For Mutual Trust Co. of America Securities ("Mutual"), Respondent Jed E. Bandes ("Bandes"), and Joseph Paul

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jonathan D. Roman, (Claimant) vs. Bishop Allen, Inc, John T. Buscemi, & Elie Mellul (Respondents) Case Number: 98-04606 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant Jonathan D. Roman, hereinafter referred to as "Claimant": Randy Scott Zelin, Esq., Blodnick, Gordon, Blodnick & Zelin, Jericho, NY. Respondent John T. Buscemi ("Buscemi"), hereinafter referred to as "R

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-04603 Boris Sapozhnikov, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant Boris Sapozhnikov appeared Pro Se., Pleasanton, CA. Respondent E*Trade Securities, Inc., appeared through its Compliance Analyst, Bob Salvador, Palo Alto, CA. DATE FILED: 12/04/1998 CASE SUMMARY: Claimant alleged he incurred a loss as a result of respondent's de

AWARD NASD Regulation, Inc. CASE: 98-04601 James Selkin, claimant vs. Scottsdale Securities. Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Denver, CO. Respondent Scottsdale Securities, Inc.. appeared through its Compliance Manager, Mark Finnegan, St. Louis, MO. DATE FILED: 12/04/1998 CASE SUMMARY: Claimant alleged that on April 20, 1998. he ordered the purchase of five May 55 calls and five June 55 calls in Veritas Software however, res

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-04600 First Liberty Investment Group, Inc., claimant vs. Jared Levy, respondent. ATTORNEYS: For Claimant appeared Nicholas J. Guiliano, Esq., Philadelphia, PA. Respondent appeared pro se, Philadelphia, PA. DATE FILED: December 4, 1998 CASE SUMMARY: Claimant alleged that respondent failed to make payment on Installment Note. Claim Data Award Data Cl

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Marc M. Drimer, individually and as assignee of Robert DeMartino, Eric D. Emanuel, and Thomas V. White, (Claimants) vs. R.D. White & Co., Inc. f/k/a R.D. White, Glaves & Co., Inc., and Louis Pagano, (Respondents) Case Number: 98-04592 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Marc M. Drimer ("Drimer"), individually and as assignee of Robert DeMartin

Award NASD Reguiation, Inc. In the Matter of the Arbitration Between: Joseph M. O'Connor and Helen B. O'Connor, Individually, Joseph M. O'Connor as Custodian of his ERA and Helen B. O'Connor as Custodian of her IRA, Claimants vs. Salomon Smith Bamey, Joseph Edward Clauson and Sheldon David Freisinger, Respondents. Case Number: 98-04586 Hearing Site: San Francisco, Califomia REPRESENTATION OF PARTIES Claimants, Joseph M. O'Connor and Helen B. O'Connor, I

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Don and Julie Jablonicky, (Claimants) vs. Seaboard Securities, Inc. (Respondent). Case Number: 98-04580 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimants, Don and Julie Jablonicky ("Claimants"): Paul N. Young: Securities Arbitration Group, Inc., Marina Del Rey, CA. Respondent, Seaboard Securities, Inc.. ("Respondent): Kathy Lett, Esq., and Jeff Cody, Esq., Fulbri

Award NASD Regulation, Inc. ,-In the Matter of the Arbitration Between: Otto Alfred Snyder Trust, Claimant v. Paul Stockinger, Rosemary Shannon, W.J. Gallagher & Company, Inc., J.B. Oxford & Company, Pacific Continental Securities Corp., and Wedbush Morgan Securities, Respondents Case Number: 98-04577 Hearing Site: Los Angeles, Califomia REPRESENTATION OF PARTIES For Claimant: Fred Van Remortel, Esq. Conway & Conway New York, New York For Re