Award NASD Regulation, Inc. In the Matter of the Arbitration Between: David Burbidge, Claimant vs. Thomas Tedeschi, Daniel Otoya, Steven Vornea and Salvador Tacher, Respondents, Case Number: 96-05840 Hearing Site: Salt Lake City, Utah REPRESENTATION OF PARTIES Claimant, David Burbidge, hereinafter referred to as "Claimant": Stephen B. Mitchell, Esq., Burbidge & Mitchell, Salt Lake City, Utah Respondent, Thomas Tedeschi, hereinafter referred to as "T

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-01418 Ameritrade, Inc., Claimant vs. Robert M. Frye, Respondent. ATTORNEYS: For Claimant appeared James J. Vihstadt, Esq., in-house counsel, Bellevue, NE, Respondent did not submit a response to the Statement of Claim. DATE FILED: March 21, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the debit balance on his margin account. Claim Data Award Data Clai

jflN.2i.iyys ii=irm AWARD NASD Regulation, Inc. la the Matter of tbe Arbitration Between Jama EL Ndta 96-05837 Investan Asacxiates, Zoc. -. . , Global Eqoidct Group Inc. ''" '•' t ' v Lawrence Joseph Pcnna Aktaandr Shvatts MicLad Hear Obzirt Damiano Salvatore Corad VadimZdtsex StCVdlZ. Wayne Charie* Wjchert Martin Charies Wegard Paul EUwood Focsythe, lU Tanai'a AlexN. ChenpaMiov Donna Made SHvennan

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC, CASE: 96-05826 Florence Weiss and Edwin Weiss, claimants vs. Harvey Rabiner, Edward Jim Mulcahey and Smith Barney, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se, Brooklyn, NY. For Respondents appeared Ann Parry, Esq., in-house counsel/Smith Barney, Inc., New York, NY. DATE FILED: December 30, 1996 CASE SUMMARY: Claimant alleged that the information he

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Cappelletti Family Partnership, (Claimant) vs. Capital Securities of America. Inc.. Banich Coleman, and Robert Hartley. (Respondents) Case Number: 96-05823 Hearins Site: New York. New York REPRESENTATION OF PARTIES Claimant, Cappelletti Family Partnership, hereinafter referred to as "Claimant": Dan Druz, Esq.. a sole practitioner. Manasquan, NJ. Previously represented by: Andr

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants Richard A. and Cynthia Farnham 96-05817 Names of Respondents Thomas F. White & Co., Inc. Greenway Capital Corporation Charles Molnar For Claimants Richard A. Farnham and Cynthia Farnham ("Claimants") appeared Anne H. Orr, Esq., a private practioner locatedin Atlanta,-Georgia;—- Claimants withdrew all claims against Respondent Thomas F. White & Co., Inc. (

/ ' V AWARD NASD Regulation, Incorporated Office of Dispute Resolution In the Matter of Arbitration Between Mitchell Maximoffand Jean Maximoff, Claimants, and No. 96-05816 Andy Tomlinson, Jr., and Hornor Townsend & Kent, Inc., Respondents. REPRESENTATION OF PARTIES » Claimants, Mjtclxell M^xjmoff and Jean L M^itrioff (hereinafter collectively "Ciairnants")» were, represented by Charles S. Price, Esquire of Allen & Price, PLC, loc

1l(f N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05814 First of Michigan Coiporation, claimant v. Michael J. Hewitt, respondent. ATTORNEYS: For Claimant appeared Jeffrey D. Plopa, Detroit, MI. Respondent did not appear. DATE FILED: 12/3C/96 CASE SUMMARY: Claimant alleged Breach of contract and failure to repay outstanding balance of promissory note upon termination. Claim Data Claim: $9,

NASD REGULATION, INC. AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Andrew Sessler Case Number 96-05813 Name of Respondent Prudential Securities, Inc. REPRESENTATION OF PARTIES For Andrew Sessler ("Claimant") appeared Scott K. Nigro, Esq. a sole practioner located in Long Beach, New York. For Prudential Securities, Inc. (^'Respondent'*)' appeared David D. Hartung, of Prudential ; ; • .

In the Matter of the Arbitration Between Name of Claimant Raymond M. Allan) 96-05810 Names of Respondents Euro-Atlantic Securities, Inc. Robert Mines REPRESENTATION For Claimant: Julie E. Fox, Esq. of Ackennan Link & Sartory, West Palm Beach, Florida. Respondent Euro-Atlantic Securities, Inc. ("Euro-Atlantic") did not appear (see "Other Issues"). Respondent Robert Hines ("nines") did not appear (see "Other Issues"). Vv^.nW*i< CASE INFORMATIO