Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Christopher Amado Alvarez Case No. 99-00736 Names of Respondents Jon Nonnile Michael G. Hardiman Datek Online Brokerage Services Corp. REPRESENTATION OF PARTIES Claimant Christopher Amado Alvarez ("Alvarez") appeared pro se. , For Respondents Jon Normile ("Nonnile"), Michael G. Hardiman ("Hardiman") and Datek Online Brokerage Services Corporation ("

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Russell R. Roby v. Salomon Smith Barney, Inc. (Respondent). Case Number: 99-00131 Hearing Site: Houston. Texas REPRESENTATION OF PARTIES Claimant, Russell R. Roby, hereinafter referred to as "Claimant": Monte James, Esq., Davis & Davis, PC, Austin, Texas. Respondent, Salomon Smith Barney, Inc., hereinafter referred to as "Respondent": Etta Gumbs, Esq., Salomon Smith Barney, Inc.,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Robert E. Conn Case No. 99-00074 Name of Respondent Prudential Securities, Inc. REPRESENTATION OF PARTIES For Robert E. Conn, hereinafter referred to as "Claimant": Joel B. McLemore, Esq., Duluth, GA. For Prudential Securities, Inc., hereinafter referred to as "Respondent": William E. Frulla, Esq. of Waring Cox, PLC, Memphis, TN. CASE INFORM

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-03713 Judy L. Gulp, claimant vs. Richard Hundchen & H.J. Meyers & Co., Inc., respondents. ATTORNEYS: For Claimant Judy L. Gulp ("Claimant"), Jeff Dennis Ferentz, Esq., Greenbaum & Ferentz, Newport Beach, California. Respondent H.J. Meyers & Co., Inc. ("Meyers"), did not respond to the Statement of Claim. Respondent Richard Hundchen ("Hundchen"), appeared Pro S

N.A.S.O. RKGl LAT1ON AWARD NATIONAL ASS()CIATIONJj£SKCljRITIKS I)KALKMKK(l 1 < )N _INC CASE: 97-03244 Irene N. Dugan Tnisl and Irene Dugan. claimants v. Scntra Securities Corp. respondent. ATTORNEYS: For claimants appeared Mark P. K rones San Diego. CA. For respondent appeared Gregory D. Fit/patriek - San Diego. CA. DATE FILED: 6/30/97 CASE SUMMARY: Claimants alleged respondent failed to notify lliein thai broker was terminated and that respondent v

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Adele Borden Estate of Paul Borden, Adele Borden, Executrix vs. Case No. 97-03177 Name of Respondents Halpert & Co., Inc. The Jeffrey Matthews Financial Group, LLC Matthew B. Cohen Jeffrey R. Halpert REPRESENTATION For Claimants Adele Borden and Estate of Paul Borden, Adele Borden, Executrix ("Claimants") appeared Richard L. Burnstein, Esq.

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Howard, Weil, Labouisse, Friedrichs, Inc. 96-04758 Name of Respondent Dorse/ & Company, Inc. ' • For Claimant: Steven F. Barley, Esq. of the law firm of Miles & Stockbridge, Baltimore, Maryland, For Respondent: Mark P. Seyler, Esq. of the law turn of Barkley & Thompson, L.C., New Orleans, Louisiana. CASE PtFOKMATlQ Ifl Statement of Claim filed: October 25, 1996. Claiman

ORDER NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Smith Barney, Inc. v. Arbitration No. 96-01993 Name of Respondents Brian G. DiJulio Barbara J. DiJulio REPRESENTATION OF PARTIES Smith Barney, Inc. ("Claimant") was represented by Eric D. Lansverk, Esq., Hillis Clark Martin & Peterson, Seattle, Washington. Brian G. DiJulio and Barbara J. DiJulio ("Respondents") were rep

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) Steven E. Toepel v. Arbitration No. 96-01730 Name of Respondents) Piper Jaffray, Inc. James McCoIley REPRESENTATION For Claimant: John A. Bender, Jr., Esq., Weiss, Jensen, Ellis & Howard, Seattle, Washington. For Respondents: Brian S. Hellberg, Esq., Piper Jaffray, Inc., Minneapolis, Minnesota. CASE INFORMATION St

HASP RgQPLATIQH. IMC.. QgPICB QP nTHPTTTE In the matter of the Arbitration Between Name of Clamant < ai Bruce Werner Name of Respondent: (s) Gilford Securities Inc. Chester J. Dudzik Arbitration No. 96-02605 For Claimant: Jeffrey M. Jones, Esq., Law Office of Archibald M. Mull, III, Old Sacramento, California For Respondent Gilford Securities Inc.: Joel Levinson, Esq., Gilford Securities Inc., New York, New York For Respondent Chester