N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-05171 Michael C. Dukeshier and Jennifer J. Dukeshier, claimants vs.Ameritrade, Inc., respondent. ATTORNEYS: Claimants appeared Pro Se, Lee's Summit, MO. For respondent appeared James J. Vihstadt of Ameritrade, Inc. Bellevue, NE. DATE FILED: November 16, 1999 CASE SUMMARY: Claimants alleged that respondent failed to execute his buy limit order for 1500 shar

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Michael A. Rogawski Case No. 99-05170 Name of Respondents Raymond, James & Associates, Inc. Raymond James Financial Services Hearing Location: Baltimore, MD REPRESENTATION OF PARTIES Claimant, Michael A. Rogawski ("Claimant") represented himself. Respondents, Raymond, James & Associates, Inc. ("RJA") and Raymond James Financial Services ("RJ

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Harry Tryens & Marie Tryens JTTEN Case No. 99-05168 Name of Respondents Paul D. Blasetti, Sr. William R. Frazier Bryn Mawr Investment Group, Inc. Hearing Site: Philadelphia, PA REPRESENTATION OF PARTIES Claimants, Harry Tryens and Marie Tryens JTTEN, hereinafter collectively referred to as "Claimants": Ralph J. Kelly, Esq., Abrahams, Loewen

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Barron Chase Securities Case No. 99-05 167 Jacob Robinson & Bryan Robinson JTWROS Hearing Site- Pittsburgh, PA ° Claimant, Barron Chase Securities, hereinafter referred to as "Claimant": Brett Alan Verona, Esq., Law Office of Brett Alan Verona, Tampa, FL. Respondents, Jacob Robinson and Bryan Robinson, JTWROS, hereinafter collectively referred to as "Respondents" ap

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Leerink, Swann, Garrity, Sollami, Yaffe & Wynn, Inc., (Claimant) vs. Guaro Coen, (Respondent) Case Number: 99-05166 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Leerink, Swann, Garrity, Sollami, Yaffe & Wynn, Inc., hereinafter referred to as "Claimant": Susan F. Drogin, Esq., a sole practitioner, Boston, MA. Respondent, Guaro Coen, hereinafter re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vitahorn Trading Co. Ltd., (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith Inc., (Respondent) Case Number: 00-05541 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Vitahorn Trading Co. Ltd., hereinafter referred to as "Claimant": John D. Kolenda, Esq., Kolenda & Loomie, LLP, New York, NY. Respondent, Merrill Lynch, Pierce, Fenner & Smith Inc., hereinaft

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Omar N. Grant, (Claimant) vs. Vanguard Marketing Corp. and Norman E. Gilliam Jr., (Respondents) Case Number: 99-05165 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Omar N. Grant, hereinafter referred to as "Claimant", appeared pro se. Respondent, Vanguard Marketing Corp. ("Vanguard"): Pauline C. Scalvino, Esq., Principal and Associate Counsel, Th

Stipulated Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: The Zina Modica Rasulo Revocable Trust 99-05163 Names of the Respondents Hearing Site: Morgan Stanley DW, Inc. and Andrew A. Neff Boca Raton, FL REPRESENTATION OF PARTIES For The Zina Modica Rasulo Revocable Trust, hereinafter referred to as "Claimant": Tim B. Wright, Esq., Wright Ponsoldt & Lozeau, L.L.P., Stuart, FL. . , . For Morgan Stanley DW, I

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant James Seramba Case No. 99-05159 Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. John L. Dozier REPRESENTATION OF PARTIES For James Seramba, hereinafter referred to as "Claimant": Joel E. Davidson, Esq., Law Offices of Joel E, Davidson, Esq., Park Ridge, New Jersey. For Merrill Lynch, Pierce, Fenner & Smith, Inc. ("MLP

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names, of Claimants Charles Brown & Mark Goodman Case No. 99-05158 Names of Respondents John Stacey Boyd Barnett Investments, Inc. LaSalle National Bank REPRESENTATION OF PARTIES For Charles Brown and Mark Goodman, hereinafter collectively referred to as "Claimants": Scott T. Orsini, Esq. of The Orsini & Rose Law Firm, P.A., St. Petersburg, FL. For John Stac