Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-03983 Barbara Karp Edwin Rosenberger Thomas Johnson Names of the Respondents Hearing Site: Norfolk, Virginia Edward Jones & Co. L.P. d/b/a Edward Jones Thomas Frank Belvin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Barbara Karp, Edwin Rosenberger, and Thomas Johnson, hereinaft

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Song S. Choe vs. Case No. 99-04007 Name of Respondents Scottsdale Securities, Inc. Mark Finnegan Stuart Barth REPRESENTATION OF PARTIES Claimant, Song S. Choe, hereinafter referred to as "Claimant" appeared pro se. Respondents, Scottsdale Securities, Inc. ("Scottsdale"), Mark Finnegan ("Finnegan") and Stuart Barth ("Barth"), hereinafter coll

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC CASE; 00-00989 Wesley L. Nash, claimant vs. Andrew F. Dunlap, Bryan Mascoe and Crowell Weedon & Co., respondents. ATTORNEYS: Claimant appeared Pro Se,, Miami, FL. Respondents Andrew F. Dunlap, Bryan Mascoe and Crowell, Weedon & Co., appeared through James L. Cronk, Partner of Crowell, Weedon & Co., Los Angeles. CA. DATE FILED: March 6, 2000 CASE SUMMARY: Claimant alleged he sold 3347 sha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02039 Rafael Golan Name of the Respondent Hearing Site: Boca Raton, FL Sentra Securities Corporation, a/k/a AIG Financial Advisors, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Rafael Golan, hereinafter referred to as "Claimant": Bradford M. Gucciardo, Esq., Scarlett and Gucciardo, P.A., Boca

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Michele Roselle Names of the Respondents Oppenheimer & Co. as Successor to Fahnestock & Co. Thomas P. DeLauro Case Number: 04-00975 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Michele Roselle, hereinafter referred to as "Claimant": Robert S. Moraf

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between First Potomac Securities Corp. AWARD Claimant #88-02252 vs. Matthew & Donna L. O'Brien Respondents Case Summary Claimant seeks a debit balance from Respondents who placed unsolicited orders in a margin account. Respondents counterclaim that Claimant conducted unauthorized trading in accounts which were never opened by them. Respondents also contend that since

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. If? the Matter of Arbitration Between Patricia L. Schmidt Claimant vs. Shearson Lehman Hutton and Gilbert Francis Hartman Respondents Case #88-02250 AWARD CASE SUMMARY Claimant, Patricia L. Schmidt, alleged that Respondent registered representative, Gilbert Francis Hartman, fraudulently misrepresented to her the risks involved in the trading of options, puts and calls, and that such

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ronald T. and Carolyn Steinberg Claimant vs. Philips, Appel & Walden, William FranJcel & Co., and Broadcort Capital Corp. Respondents OATH AND AWARD OF ARBITRATOR 88-02248 Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: I am not

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Sidney Sude ) Claimant ) ) Case #88-02240 vs. ) Award ) PaineWebber, Inc. ) Dean Liuzzi ) Respondents ) ) CASE SUMMARY The issues brought by the Claimant, Sidney Sude, wrt< fcdid Respondents, PaineHebber, Inc. and Dean Liuzzi commit unauthorized transactions, refuse to follow customer direction and churn the account of Sidney Sude. Th

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mitchell R. Mass, P.C. Defined Benefit Plan et al vs. Claimants Advest, Inc. Robert Schlesinger Respondents AWARD #88-02234 Case Summary Claimants, Mitchell R. Mass, P.C., Defined Benefit Pension Plan and Alice Mass, claims against Respondents Advest, Inc. and Robert Schlesinger arise from losses in Claimants' account which Respondents maintained