AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Donald L. Bolich, Saliie S. Bolich and Steven J. Bolich and 96-04229 Name of Respondent Charles Schwab & Company, Inc. REPRESENTATION OF PARTIES Donald L. Bolich, Saliie S. Bolich and Steven J. Bolich ("Claimants") were represented by Douglas W. Poling, Esq., Broomfield, Colorado. Charles Schwab & Company, Inc. ("Respondent") wa

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant May Financial Corporation Case No. 01-02137 Hearing Site: Boca Raton, Florida Name of Respondent Atlantic Coast Capital Management, LTD REPRESENTATION OF PARTIES For May Financial Corporation ("May") hereinafter referred to as "Claimant": Corbet F. Bryant, Jr., Carrington, Coleman, Sloman & Blumenthal, Dallas, Texas. Respondent Atlantic Coast Ca

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Tracey L, Dahlkamp 96-04228 Name of Respondents Smith Barney Inc. John Kuklenski CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 23, 1996. claimant Tracey L. Dahlkamp, who appeared Pro Se, alleged that as a former employee of respondent Smith Barney, Inc., she is entitled

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Patrick and Bridget Nee 96-04227 Name of Respondents Haipert & Company, Inc. Ellen (Cesarski) Feldman REPRESENTATION For Claimant Patrick and Bridget Nee, ("Claimants"), appeared John J. Blanchard, Esq., a sole practitioner located in Montvale, New Jersey. For Respondent Haipert & Company, Inc.,("Haipert"), appeared Larry Lenski, Esq., of Ravin, Greenberg &

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant John A. Cassidy, and Roberta C. Cassidy and 96-04226 Name of Respondents Glenn Gryka, MyrnaReilly, Dale Heath, Donna Bartlett, First allied Securities, First Affiliated Securities and Bear Stearns & Co., Inc. REPRESENTATION OF PARTIES John A. Cassidy, and Roberta C. Cassidy ("Cassidy") were represented by initially by John C. Cassidy

BEFORE THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. EVEREN SECURITIES, INC, a ) No. 96-04225 corporation, ) ) AGREED FINAL AWARD Claimant, ) v. ) ROBERT L. ADDISON, an individual, ) Respondent. ) REPRESENTATION Claimant, EVEREN SECURITIES, INC. John R. Loftus, Esq. Keesal, Young & Logan 400 Oceangate Long Beach, California 90801-1730 Respondent, ROBERT L. ADDISON Sandra Malek, Esq. Malek & Malek 3625 Del Amo Boule

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 96-04217 Name of Respondent Belynda P. Stewart REPRESENTATION Claimant PaineWebber, Inc. ("Claimant") was represented by James P. Flynn, Esq., Hannoch Weisman, Roseland, NJ. Respondent Belynda P. Stewart ("Respondent") was represented by Shari Amster, Esq., Durant & Durant, Phil

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Michael H. & Kiera Williams Stock 96-04208 Name of Respondents Merrill Lynch Pierce Fetiner & Smith Inc Michael Livernois CASE SUMMARY In a case filed with the National Assocaition of Securities Dealers Regulation, Inc. on September 20, 1996, claimants Michael and Kiera Stock, ("claimants"), who app

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Everen Securities. Inc. Name of Respondents James D. Rollerson Joseph G. Gerace Arbitration No. 96-04205 REPRESENTATION For Claimant: For Respondent James D. Rollerson: For Respondent Joseph G. Gerace: Dianne C. Fischer. Esq. Gomberg Kane £ Fisher, Ltd. Chicago, Illinois James D. Rollerson In

N.A.S.D. REGULATION - CORRECTED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04203 Judith A. Giampieri, claimant vs. State Street Capital Markets Corp. and Nick Lobasso, respondents. ATTORNEYS: Claimant appeared Pro Se - Denver, CO For Respondents appeared Mark J. Astarita, Esq. and John E. Bersin, Esq., New York, NY DATE FTLED: September 20, 1996 CASE SUMMARY: Claimant alleged that respondents refused to sell her Cable