NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-03369 Martin J. Halm, claimant vs. Scottsdale Securities, Inc., respondent. ATTORNEYS: For claimant, Martin J. Halm, ("Claimant"), appeared Ian Brenson, Esq., La Grange, IL. For respondent, Scottsdale Securities, Inc., ("Respondent"), appeared Mark Finnegan, Compliance Manager, St. Louis, MO. DATE FILED: July 23, 1999 CASE SUMMARY: Claimant alleged that he place an order with Respo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Scott A. Halpern, (Claimant) vs. Chapdelaine Corporate Securities, (Respondent) Case Number: 00-01109 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Scott A. Halpern ("Halpern"), hereinafter referred to as "Claimant": appeared pro se, New York, NY. Respondent, Chapdelaine Corporate Securities ("Chapdelaine"), hereinafter referred to as "Respondent": Jerome

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John D. Garvey IRA Rollover Account, (Claimant) vs. Guardian Investor Services Corp., The Guardian Life Insurance Company of America, The Guardian Park Avenue Fund, and State Street Bank and Trust Co., (Respondents) Case Number: 00-00125 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, John D. Garvey IRA Rollover Account, hereinafter referred to as "Clai

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Michael Perle, Jane Bottone, Michael Bottone, Marsia Bottone, Anna Bottone Trust and Michael Bottone, Jr. vs. John A. Radii Claimants Respondent CASE # 89-00158 89-00962 .89.-OS968 89-01012 AWARD CASE SUMMARY - Michael and Jane Bottone allege they gave John A. Radii $66,008.15 for safe investment and that unsuitable transactions were

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Matthew Bradbury Marston 94-05056 Name of Respondents Gnmtal & Co., Inc. Barry Richter REPRESENTATION For Claimant Matthew Bradbury Marston ("Claimant") appeared Jeffrey Liddle, Esq. of Liddle & Robinson located in New York, NY. For Respondents Gruntal & Co., Inc. ("Gnmtal") and Barry Richter ("Richter") appeared Cather

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Chemical Securities, Inc. 94-04230 Name of Resoondent(s) MJ. Whitman L.P. REPRESENTATION For Claimant Chemical Securities Inc., ("Chemical Securities") appeared Stephen L. Ratner, Esq., of Rosenman & Colin located in New York, New York. For Respondent M.J. Whitman, L.P., ("Whitman") appeared Evan L. Gordon, Esq., located in N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Stefanos and Bernice Louise Petridis 94-04617 Name of Respondents) Keith Boyd REPRESENTATION The Claimants, Stefanos and Bernice Louise Petridis ("Claimants"), appeared Pro Se. For Respondent, Keith D. Boyd ("Respondent"), Dominick F. Evangelista, Esq., of the firm Bressler, Amery & Ross, located in Morristown, N.J. CASE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds, Inc. 94-03312 Name of Respondent Stephen L. Self CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 18, 1994, Claimant, Dean Witter Reynolds, Inc. ("Dean Witter"), through its counsel Dominick J. Dorata, Esq., New York, New York, stated that in February 1982,

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Mirta Sosa and Juan Del Come Case No. vs. 94-02617 Name of Respondents Merrill Lynch Pierce, Fenner & Smith, Inc. Rocia M. Gell REPRESENTATION For Claimants Mirta Sosa ("Sosa") and Juan Del Conte ("Del Conte") (collectively "Claimants"), appeared Malcolm Taub, Esq. of the firm Bizar Martin & Taub, LLP, located in New York, New York. For Respond

Case No. 94-03243 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stewart Sherman Name of Respondent Fahnestock & Co., Inc. Bruce Millman REPRESENTATION Claimant: Stewart Sherman ("Sherman"), appeared pro se. For Respondent, Fahnestock & Co., ("Fahnestock") and Bruce Millman ("Millman"), appeared Eric J. Shames, Esq., of the firm Fahnestock & Co., Inc. CASE INFOR