Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gene and Pat Aloi, Claimants v. Allen Douglas Securities. Inc., Andrew Melville, Stephen D. Pizzuti, and Larry S. Kase, Respondents Case Number: 99-04424 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: For Respondent Allen Douglas Securities. Inc.: For Respondent Andrew Melville: For Respondent Stephen D. Pisrzuii: For Respondent La

AWARD NASD Dispute Resolution, Inc. ^ In the Matter of the Arbitration Between Name of Claimants Lina L. Estrada and Edmundo Catacutan Estrada and 99-04410 Kansas City, Missouri Name of Respondents Fairchild Financial Group, Inc. formerly known as VTR Capital, Inc. Greg Garson Edward McCune Wallace Conley Lorette D. Farris Gregory T. Souran William G. Goble Felicia A. Antonio David W. Noble Name of Third Party Respond

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04409 Gary Welsh, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant Gary Welsh, appeared Pro Se., Perkiomenville, PA. For respondent E*Trade Securities, Inc. appeared Bob Salvador Compliance Analyst, Menlo Park, CA. DATE FILED: September 28, 1999 CASE SUMMARY: Claimant alleged that respondent's computer system did not recognize the new symbols assigned to R

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Harry B. Pascal, individually and as custodian for Zachary Pascal, Nikki Pascal, and Grant Pascal, (Claimant) vs. Gruntal & Co., L.L.C., (Respondent) Case Number: 99-04402 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Harry B. Pascal, individually and as custodian for Zachary Pascal, Nikki Pascal, and Grant Pascal, hereinafter referred to as "Claimant"

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Raymond James & Associates, Inc., (Claimant) vs. J.C. Bradford & Co., Don T. Burrows, Jr. ahd Ken Fenson, (Respondents). Case Number: 99-04400 Hearing Site: Houston, Texas REPRESENTATION! QF PARTIES Claimant, Raymond James & Associates, Inc., hereinafter referred to as "Claimant": Shepherd D. Tate, Esq. and Christopher G. Lazanni, Esq., Tate, Lazarini & Bebll, PLC, Memphis, Tennes

Award NASD Dispute Resolution In the Matter of the Arbitration Between: of tV ripiTnaTrfg Pagp TMnmhpr- 00-05490 RolfTragbar Gloria Tragbar Name of t^ p^prm^pptg ffp^rirg ftitfv Philadelphia, PA Marshall Myers First Union Securities, Inc. OF Claimants, Rolf and Gloria Tragbar, hereinafter collectively referred to as "Claimants": Richard E. Miller, Esq., Braverman Kadkey & Caprara, Philadelphia, Pennsylvania. Respondent Marshall Myers ("M

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John R. and B. Dian Biddle, Claimants vs. Diversified Capital Markets, a Division of Michael Patterson, Inc., and William L Johnston, Respondents. Case Number 99-04392 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claimants, John R. and B. Dian Biddle ("Biddle"), hereinafter referred to as "Claimants", were represented by Joseph R. Miller, Esquire, of Vorys, Sater,

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant F. Donald Ahee and 99-04389 Phoenix, Arizona Name of Respondents Quick & Reilly, Inc. Larry Gene Morton, Jr. REPRESENTATION OF PARTIES F. Donald Ahee ("Claimant") was represented by Eugene Zlaket, Esq., Tucson, Arizona. Quick & Reilly, Inc. ("Respondent Q & R") and Larry Gene Morton, Jr. ("Respondent Morton")(collectively as "Respondents") w

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bruce Stewart and Steve Stewart, Claimants vs. Madison Capital Markets Corp., also known as Thermopylae Group, Inc., and Joseph J. Papeo, Respondents. ^)ase Number: 99-04387 Hearina Site: Columbus. Ohio REPRESENTATION OF PARTIES Claimants Bruce Stewart and Steve Stewart were represented by C. William Brownfield, Esquire, of Columbus, Ohio. Respondents Madison Capital Marke

\ Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Raymond Koren, Claimant Case Number: 99-04380 Vs. Hearing Site: Cleveland, Ohio Dalton Kent Securities Group, Inc., Coleman and Company Securities, Inc., and Andrew J. Fernholz, Respondents. REPRESENTATION OF PARTIES Claimant/Counter-Respondent, Raymond Koren ("Koren"), was represented by Roger W. VanDeusen, Esquire, of Chattman, Gaines & Stern, Cleve