Award NASD Dispute Resolution. Inc. In the Matter of the Arbitration Between: David Shakarchi (Claimant) vs. Charles Schwab £ Co.. Inc.. t.Respondent* Case Number: 99-04344 Hearing Site: New York. New York REPRESENTATION OF PARTIES Claimant. David Shakarchi. hereinafter referred to as "Claimant": Joseph H. Neiman, Joseph H. Neiman. Attorney at Law. Hackensack. NJ. Claimant originally appeared pro \e. Respondent, Charles Schwab & Co.. Inc.. hereinafter r

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-04343 Beverly A. Wheeler, claimant vs. Norwest Investment Services, Inc., Dorothy N. Kong Picha and Vance S. Chavez, respondents. ATTORNEYS: Claimant appeared Pro Se, Scottsdale, Arizona. For Respondents appeared Sherri Hallerman Gould, Esq. of the firm Wells Fargo, Minneapolis, Minnesota. DATE FILED: September 23, 1999 CASE SUMMARY. Claimant alleged t

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimants Case Number: 00-05480 Lilyan Busk and Raymond Busk Name of the Respondent Hearing Site: Chicago, Illinois Dreyfus Brokerage Services REPRESENTATION OF PARTIES Claimants, Lilyan Busk and Raymond Busk Busk, hereinafter collectively referred to as "Claimants": Thomas F. Burke, Esq. with law offices located in Chicago, Illinois. Respondent, Dreyfus Br

Amended Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard G. Bell and Danielle Stanton, Claimants v. Prudential Securities, Inc., Robert J. Filderman, and Gene Ingargiola, Respondents ase Number 99-04338 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Robert A. Uhl, Esq. and Philip M. Aidikoff, Esq. Aidikoff&Uhl Beverly Hills, California For Respondents: Terry Ross, Esq. and

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard G. Bell and Danielle Stanton, Claimants v. Prudential Securities, Inc., Robert J Filderman, and Gene Ingargiola, Respondents Case Number: 99-04338 Hearing. Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Robert A. Uhl, Esq. and Philip M. Aidikoff, Esq. Aidikoff & Uhl Beverly Hills, California For Respondents; Terry Ross, Esq. and Ja

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Eric L. Goldstein, (Claimant) vs. Joseph Visconti, Joseph Charles and Company, Inc., and Joseph Charles & Associates, Inc., (Respondents) vs. Michael Wainstein, (Third-party Respondent) Case Number: 99-04334 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Eric L. Goldstein, hereinafter referred to as "Claimant": Thomas J. Fleming, Esq. and Kenneth J. Rubenstei

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Thomas L. Hodges, Claimant v. Lloyd Wade Securities, Inc., Manny Bello, Frank Cardone, Richard Williams and Richard LaGreca Case Number: 99-04331 Hearing Site: Charlotte, North Carolina REPRESENTATION OF PARTIES For Thomas L. Hodges, hereinafter referred to as "Claimant": Dan A. Druz, Esq., Manasquan, New Jersey. For Lloyd Wade Securities, Inc. ("Lloyd Wade"): David E. Gra

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sanford C Fries v. Piper Jaffray, Inc., Richard E. Dye and Alisa M. Rakoz Case Number: 99-04330 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Jonathan W. Evans Jonathan W. Evans & Associates 12711 Ventura Boulevard Suite 440 Studio City, CA 91604 For Respondent Mark S. Reed Piper Jaffray Inc.: U.S. Bancorp Piper Jaffray Inc.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Semyon Varshavchik, (Claimant) vs. E*Trade Securities, Inc., (Respondent) Case Number: 99-04325 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Semyon Varshavchik, hereinafter referred to as "Claimant": Anthony J. Ferrara, Esq., Polstein, Ferrara, Dwyer & Speed, P.C., New York, NY. Respondent, E*Trade Securities, Inc., hereinafter referred to as "Responden

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitral! on B etween Name GaryG.Edler Case No. 99-043 17 Milwaukee, Wisconsin BT Alex. Brown Incorporated; and Jeffrey Alan De Young Claimant Gary G. Edler ("Edler") was represented by Otto K. Hilbert, n, Esq., of Robison, Waters & O'Dorisio, P.C., located in Denver, Colorado. Respondents BT Alex. Brown Incorporated ("Alex. Brown") and Jeffrey Alan De Young ("DeYoung") were repres