Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles M. Butler, as custodian for John B. Butler, under the Alaska Uniform Gift to Minors Act; Charles M. Butler, as custodian for Matthew K. Butler, under the Alaska Uniform Gift to Minors Act; and James C. Butler, Claimants vs. A.G. Edwards & Sons, Inc., Respondent. Case Number: 99-05002 Hearing Site: Anchorage, Alaska REPRESENTATION OF PARTIES Claimants: Timothy J. O'Conn

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Sal A. Farinacci and Domenica Farinacci, Claimants Case Number: 99-05001 Vs. Hearing Site: Cleveland, Ohio Bennett Mullaney & Co., Inc., and Michael Verbitsky, Respondents. REPRESENTATION OF PARTIES Lou D'Amico, Esquire, of Argie, D'Amico & Vitantonio, Mayfield Village, Ohio, represented Claimants Sal A. Farinacci and Domenica Farinacci ("Farinacci"), herei

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: #99-04997 Kama! R. Patel, claimant vs. Charles Schwab < fe Co., Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Houston, TX. For Respondent appeared in-house counsel, Steve Murphy, Esq., San Francisco, CA. DATE FILED: November 5, 1999 CASE SUMMARY: Claimant alleged that respondent failed to cancel his order to buy shares of I-net Inc. Claimant further a

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04995 Andrea Marcoux, claimant vs. Steven Gibbone, Ralph Bradac and FFP Securities, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se., Marlton, NJ. For Respondents appeared Stephen L. Koenig, Esq. in house counsel for First Financial Planners., Chesterfield, MO. DATE FILED: November 5, 1999 CASE SUMMARY: Claimant alleged that respondents failed to properly transfer her mo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kent G. McKernon, (Claimant) vs. Galaxy Funds and Fleet Bank of Massachusetts, NA, (Respondents) Case Number: 99-04980 Hearing Site: Albany, New York REPRESENTATION OF PARTIES Claimant, Kent G. McKernon, hereinafter referred to as "Claimant": David B. Avigdor, Esq., a sole practitioner, Hadley, NY. Respondents, Galaxy Funds ("Galaxy") and Fleet Bank of Massachusetts, NA ("

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bruce G. Heines, (Claimant) vs. Essex Corporation, Essex National Securities, Inc., Metro Agency, Inc., Frederick S. Nicholas, Craig McCulloch, Greenpoint Bank, Ramesh Shah, Lawrence Dorris, and Bharat Bhatt, (Respondents) Case Number: 99-04979 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Bruce G. Heines, hereinafter referred to as "Claimant": Thomas Pi

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Ruth and Robert Mechigian, and The Mechigian Family Limited Partnership and 99-04972 Detroit, Michigan OLDE Discount Corporation Joseph Drew Sheeran REPRESENTATION OF PARTIES Ruth and Robert Mechigian, and The Mechigian Family Limited Partnership ("Claimants") were represented by Anthony V. Trogan, Esq., West Bloomfield, Michigan. H&R Block Financial

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Michael R. Levitsky RS Environmental Services, Inc. Names of Respondents Renaissance Financial Securities Corp. Adam J. Cohen Richard Mika Perry Raphan Case No. 99-04971 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Michael R. Levitsky ("Levitsky") and RS Environmental Services, Inc. ("RS") hereinafter collectivel

N.A.5.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-04967 American Froiiteer Financial Corporation f/k/a RAF Financial Corp., claimant vs. Flint Harner. respondent. ATTORNEYS: For Claimant American Fronteer Financial Corporation f/k/a RAF Financial Corp., ("Claimant"). Thomas D. Birge, Birge & Minckley, P.C., Denver, CO. Respondent Flint Harnei did not respond to the Statement of Claim. DATE FILED: 11/03/19

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Emily Kelly v. TradeStar Investments, Incorporated Case Number: 00-05532 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant Emily Kelley hereinafter collectively referred to as "Claimant": Represented herself. Respondent TradeStar Investments Incorporated hereinafter referred to as " Respondent": Angela Saccomandi, Esq. of Fiserv Securities, Inc., Philadel