Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant David C. Doll vs. Case No. 99-04764 Name of Respondent Keystone Brokerage, Inc. REPRESENTATION OF PARTIES Claimant, David C. Doll, hereinafter referred to as "Claimant": S. Francis Baldwin, Goldberg, Katz, Sadowski & Stansen, St. Louis, Missouri Respondent, Keystone Brokerage, Inc., hereinafter referred to as "Respondent": Mark D. Bradshaw, Esq., Eckert

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between The Estate of Ruth R. Hail, Claimant Case No. 99-04757 PaineWebber, Inc. William L. Crull, IV, Respondents Hearing Location: Washington, DC REPRESENTATION OF PARTIES Claimant, the Estate of Ruth Hall (Hall Estate), was represented by Marc B. Dorfman, Esq. formerly of the law firm of Freedman, Levy, Kroll & Simonds, Washington, DC and currently of the law fir

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Regal Discount Securities, Inc., (Claimant/CounterRespondent) v. James Allgeier, (Respondent/CounterCIaimant) Case Number: 00-05509 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimanl/CounterRespondent Regal Discount Securities, Inc. ("Regal Discount"): Nicholas lavarone and Thomas E. Sarikas. Esq. of the law firm of Bellows and Bellows, P.C. located in

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jon Maresca and Elizabeth Maresca, Claimants v. May Davis Group, Inc., Gregory Mack, and Wayne Coy, Respondents. Case Number: 99-04753 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Elizabeth Lowery, Esq. Fields, Fehn & Sherwin Los Angeles, California For Respondents: Adam L. Goldberg, Esq. The Law Offices of Adam J. Goldberg N

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:99-04749 Olde Discount Corporation, claimant vs. All Khalife, respondent ATTORNEYS; For claimant Olde Discount Corporation appeared, Aaron L. Kleid, Esq. in-house counsel, Detroit, MI. Respondent Ali Khalife did not respond to the statement of claim. DATElFILED: October 20, 1999 CASE SUMMARY: Claimant alleged tliat shares of Franklin Government Securities Fund were deposited into r

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: Q9-04747 Sepehr Amiri, claimant vs. Discover Brokerage Direct, Inc., respondent. ATTORNEYS: Claimant, Sepehr Amiri appeared Pro Se. ? Santa Monica, CA Eor Respondent Discover Brokerage Direct Inc , appeared Judith M. Rosenberg, Esq., in house counsel, San Francisco, CA DATE FILED: October 20, 1999 CASE SUMMARY: Claimant alleged transactional errors by respondent regarding his

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-04744 The Joseph D. Gee & Lynn Gee Trust, claimant vs. Discover Brokerage Direct, Inc., n/k/a Morgan Stanley Dean Witter Online, Inc., respondent. ATTORNEYS: For Claimant Joseph D. Gee & Lynn Gee Trust ("Claimant"), Joseph D. Gee, Barstow, California. For Respondent Discover Brokerage Direct n/k/a Morgan Stanley Dean Witter Online, Inc. ("Respondent"), app

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names Of Claimante Angelo and Maria Lorenzo Case No. 99-04737" Names of Respondents Legg Mason Wood Walker, Inc. Gary Ronald Price David Franklin REPRESENTATION OF PARTIES For Angelo and Maria Lorenzo, hereinafter referred to as "Claimants": Russell C. Silverglate, Esq. of Dickenson, Murdoch, Rex, & Sloan, Boca Raton, Florida. K^C f D For Legg Mas

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Stifel, Nicolaus & Company, Inc., (Claimant) vs. Calvin Theus, (Respondent). Case Number: Hearing Site: 99-04733 Clayton, Missouri REPRESENTATION OF PARTIES Claimant, Stifel, Nicolaus & Company, Inc. ("Stifel"), hereinafter referred to as "Claimant": Rebecca Whitehouse, Esq., Law Office of Rebecca Whitehouse, Austin, Texas. Respondent, Calvin Lynn Theus ("Theus"), here

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Gloria Hunt Allen and 99-04727 Tucson, Arizona Name of Respondents FFP Securities, Inc. Conrad Thomas Corcoran Catalina Investment REPRESENTATION OF PARTIES Gloria Hunt Allen ("Claimant") was represented by J. Emery Baker, Mesch, Clark & Rothschild, P.C., Tucson, Arizona. FFP Securities, Inc. ("Respondent FFP"), Conrad Thomas Corcoran ("