rsf STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between John Pascaris and Nancy Pascaris and 99-04314 Detroit, Michigan NatCity Investments, Inc. First of America Brokerage Services, Inc. First of America Securities, Inc. Ernest J. Romer, 111 REPRESENTATION OF PARTIES John Pascaris and Nancy Pascaris ("Claimants") were represented by Anthony V. Trogan, Esq., West Bloomfield, Michigan. NatCity I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harris Holzberg, Claimant v. First Union Securities, Inc., Anthony Cameron and April Thompson, Respondents Case Number: 00-05477 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Daniel Robert Hartley, Esq. Novato, California For Respondents: Peter R. Boutin, Esq. Keesal, Young & Logan San Francisco, California CASE INFORMATION State

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04307 Sung A. Kim and Jung H. Kim, claimants vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimants appeared Pro Se, Morton Grove, IL. Respondent appeared through its Compliance Analyst, Bob Salvador, Palo Alto, CA. DATE FILED: September 21, 1999 CASE SUMMARY: Claimant alleged that respondent failed to check the equity in the account prior to executing a sell order requeste

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04306 An Thi Thuy Truong, claimant vs. Discover Brokerage Direct, Inc., respondent. ATTORNEYS: Claimant, An Thi Thuy Truong, ("Claimant"), appeared Pro Se., Riverside, CA. For Respondent, Discover Brokerage Direct, Inc., ("Respondent"), appeared in-house counsel Judith M. Rosenberg, Esq., San Francisco, CA. DATE FILED: September 21, 1999 CASE SUMMARY: Claimant alleged that she plac

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Jack Diener Case No. 99-04304 Name of Respondents Fahnestock & Co., Inc. Bruce A. Hartzmark Hearing Location: Washington, DC REPRESENTATION OF PARTIES Claimant Jack Diener ("Claimant") was represented by Roger W. Van Deusen, Esq. of the law firm of Chattman Gaines & Stern, P.C., Cleveland, OH. Respondents Fahnestock & Co., Inc. ("Fahnestock"

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Legg Mason Wood Walker, Inc., (Claimant) vs. A. Friesel, (Respondent) Case Number: 99-04302 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Legg Mason Wood Walker, Inc., hereinafter referred to as "Claimant": James E. Goodrich, Esq., Saul, Ewing, Weinberg & Green, Baltimore, MD. Respondent, A, Friesel, hereinafter referred to as "Respondent", did not make an appea

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Noureddin Torkie Tork Case No. 99-04293 Name of Respondent Fidelity Brokerage Services, Inc. Hearing Location: Washington, DC REPRESENTATION OF PARTIES Claimant Noureddin Torkie Tork ("Claimant") represented himself. Respondent Fidelity Brokerage Services, Inc. ("Respondent") was represented by Rochelle S. Hall, Esq., of the law firm of McGuire

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION INC. CASE: 99-04290 Warren M. Brown, claimant vs. Michael Donovan, respondent. ATTORNEYS: For claimant appeared David B. Geurtsen, Esq., of the firm, Conboy, McKay, Bachman & Kendall, LLP., Watertown, NY. Respondent appeared Pro Se, Syracuse, NY. DATE FILED: September 20, 1999 CASE SUMMARY: Claimant alleged that respondent failed to pay him commissions. Claim Data

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04289 Karl H. Koebke, claimant vs. Spelman & Co., Inc. and Donald H. Colapinto, respondents. ATTORNEYS: Claimant appeared Pro Se, Oceanside, CA. For Respondents appeared Cynthia M. Schleindl, Esq., of the firm Miller Milbve & Kob, San Diego, CA. DATE FILED: September 20, 1999 CASE SUMMARY: Claimant alleged that respondents neglected their fiduciary responsibility to properly in

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-4288 Olde Discount Corporation, Claimant vs. Chandra S. Kaliam, Respondent. ATTORNEYS: For Claimant, Olde Discount Corporation ("Claimant"), appeared in-house counsel Aaron L. Kleid, Esq., Detroit, MI. Respondent, Chandra S. Kaliam, (Respondent"), did respond to the Statement of Claim. DATE FILED: September 20, 199? CASE SUMMARY: Claimant alleged that it issued a check to Responden