AWARD . NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants John Metz and Sandra Metz and 97-06043 Cincinnati. Ohio Name of Respondents Barron Chase Securities Christopher Esposito REPRESENTATION OF PARTIES John Metz and SandraMetz ("Claimants") were representedby Thomas A. Hargett, Esq.,Maddox Koeller Hargett & Caruso, Indianapolis, Indiana. : •.'*.-•:• HU;;..:. Barron Chase Securities ("Responde

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Jerry West Jerry West IRA Glenn Lazenby IRA vs. 97-06042 Name of Respondents Renaissance Financial Securities Todd Spehler James S. Heitzer Christine A. Heitzer REPRESENTATION For Claimant: Mark McNair, Esq., Washington, D.C. Respondents Renaissance Financial Services ("RFS"), Todd M. Spehler ("Spehler' 1 ), James S. Heitzer ("J

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Raymond Lundgren and Kay T. Lundgren (Claimants) vs. A.S. Goldmen & Co., Inc., Joseph Piscopo, Rick Madison, Charles Principato, et al. (Respondents) Case Number: 97-06040 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Raymond Lundgren and Kay T. Lundgren hereinafter collectively referred to as "Claimants": David W. Studley, Esq., San Andreas, California. A.S.

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Joseph B. Marsh, Claimant. No. 97-06037 Olde Discount Corporation. Respondent. REPRESENTATION OF PARTIES Claimant Joseph B. Marsh ("Claimant") appeared pro se. Respondent Olde Discount Corporation ("Respondent") was represented by Lisa S. Fildes, Esq. of Olde Discount Corporation located in Detroit, Michigan. CASE INFORMATION The Statement of Claim was tiled on or a

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE-.97-06032 Norman C. Charles MD,PC Pension Plan, claimant vs. Charles Schwab & Co., Inc. respondent. ATTORNEYS: For claimant appeared Norman C. Charles - New York, NY. For Respondent appeared Sean Meehan, Esq. - San Francisco, CA. DATE FILED: 12/29/97 CASE SUMMARY: Claimant alleged failure to deposit in mutual fund as directed. Claim Data Award Data Cla

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01740 Franklin S. Richardson and Lucille Richardson, claimants vs. Scottrade Financial Services, respondent. ATTORNEYS: Claimants appeared Pro Se, Louisville, KY. For Respondent appeared Mark Finnegan, compliance manager, St. Louis, MO. DATE FILED: April 9, 2001 CASE SUMMARY: Claimants alleged that respondents failed to apply for the partial refund of the Foreign Tax that was wi

l/P.»/»«_rai_10 : 27 PAX NASD REGULATION Q D07 Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Margaret Goodhmd and 97-06030 Name of Respondent MarkRumpza Margaret Goodhmd ("Claimant") was represented by Richard G. Himelrick, Esq., of Tiflany & Bosco, P.A_, Phoenix, Arizona. Mark Rumpza ("Respondent") was represented by Craig Collins, Esq., the Law Offices of Craig Collins, Sun City, Arizona.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Phillip Ellis Case No. 97-06027 Names of Respondents Ad vest, Inc. Steven Rothman REPRESENTATION OF PARTIES For Claimant: Albert B. Lewis, Esq. of Piper, Esteva, Green, Karvonen & Lewis, St. Petersburg, Florida. For Respondent Advest, Inc. ("Advest"): Gary M. Miller, Esq. of Stein, Rosenberg & Winnikoff, Fort Lauderdale, Florida. For Respondent

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Manor of the Arbitration Between •Name of Claimant John A. Schiavone 97-06026 Name of Respondents Investors Associates, Inc Glenn Lavender REPRESENTATION Claimant John A. Schiavone ("Claimant") represented himself. Respondent Investors Associates, Inc. ("Investors") was not represented at the hearing. Respondent Glenn Lavender ("Lavender") was represented by Robert Bens

NASD AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between' Name of Claimant H.J. Meyers & Co., Inc. Case Number and 97-06022 Name of Respondent Harold S. Sokol REPRESENTATION OF PARTIES For H.J. Meyers & Co., Inc. ("Claimant") appeared Jeffrey G. Regenstreif, Esq. of Relin, Goldstein & Crane, LLP, located in Rochester, New York. Harold S. Sokol ("Respondent") did not appear. CASE INFORMATION Claimant filed the Sta