Award NASD Dispute Resolution. Inc. In the Matter of the Arbitration Between: Name uf Claimant The Zoe M. Gregg Trust UA dtd 2/27/92 Case No. 99-04256 Names of Respondents Mary Ann Logan n/k/a Mary Ann Finneran Sigma Financial Corporation Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For The Zoe M. Gregg Trust UA dtd 2/27/92, hereinafter referred to as "Claimant"; David J, Baron, Esq., Fergeson, Skipper, Shaw, Keyser, Baron & Ti

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Charles Products, Inc. vs. Case No. 99-04254 Name of Respondents First Madison Securities, Inc. Steven Rasco Ray Vahab REPRESENTATION OF PARTIES Claimant, Charles Products, Inc., hereinafter referred to as "Claimant": Arthur M. Schwartzstein, Esq. McLean, Virginia Respondents, First Madison Securities, Inc. ("First Madison"), Steven Rasco ("

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard Swaffer, (Claimant) vs. Providential Securities, Inc., Henry Fahman, Southwest Securities, Inc., and Penson Financial Services, Inc., (Respondents) Case Number: 00-05474 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Richard Swaffer, hereinafter referred to as "Claimant": James A. McGurk, Esq., Law Office of James A. McGurk, Chicago, IL. Respon

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Yale and Barbara Ladenheim Case No. 99-04250 Names of Respondents CIBC Oppenheimer Corp. Roland G. Auclair Russell W. Newton Merit Capital Associates, Inc. REPRESENTATION OF PARTIES For Yale and Barbara Ladenheim, hereinafter collectively referred to as "Claimants": Darren C. Blum, Esq., Hollywood, Florida. .," .. v ,^ : ,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04249 Deborah Dimaggio, Claimant vs. Peter Dimaggio, Respondent. ATTORNEYS: Claimant, Deborah Dimaggio, ("Claimant"), appeared Pro Se., North Tonawanda, NY. Respondent, Peter Dimaggio, ("Respondent"), did not respond to the Statment of Claim. DATE FILED: November 11, 1998 CASE SUMMARY: Claimant alleged that Respondent engaged in unauthorized and excessive trading in her account. Cl

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: William T. Walborn, Claimant Case Number: 99-04237 Vs, Hearing Site: Cleveland, Ohio Aetna Life Insurance & Annuity Company, Respondent. REPRESENTATION OF PARTIES C. Randolph Light, Esquire, of Rohrbachers, Light, Cron, Zmuda & Trimble Co., L.PA, Toledo, Ohio, represented Claimant William T. Walborn ("Walborn"). Thomas R. Kraemer, Esquire, of Faruki, Gilliam &

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: RAYMOND P. CLARK, Claimant, v. Hearing Site; Southfield, Michigan DONALD TERNS, Respondent. Case Number: 99-4222 REPRESENTATION OF PARTIES Claimant, Raymond P. Clark ("Clark"), hereinafter referred to as "Claimant": Thomas J. Kenny, Esq., Raymond & Prokop, P.C.,Southfield, Michigan Respondent, Donald Terns ("Terns"), hereinafter referred to as "Respondent":Dennis J. Levasseur,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Robert Solis vs Case Number: 99-04218 Hearing Site: Houston, Texas Names of Respondents Global Financial Group, Inc., Steven C. Staltare, and Steven C. Cirillo and Names of Cross-Claimants Global Financial Group, Inc. and Steven C. Staltare vs Name of Cross-Respondent Stephen C. Cirillo NATURE OF DISPUTE Customer v. Termina

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of (Claimant Patrick M. Egan Case No. 99-04216 Name of Respondent UBS PaineWebber, Inc. Hearing Site: Philadelphia, PA REPRESENTATION OF PARTIES Claimant Patrick M. Egan ("Claimant") was represented by H. Marc Tepper, Esq., Buchanan IngersoU, P.C., Philadelphia, PA. Respondent PaineWebber, Inc. ("Respondent") was represented by Amy Bard, Esq.S Ridge, NJ

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Philip Gottlieb and Helene Gottlieb, (Claimants) vs. National Securities Corporation and Jacob Wonsover, (Respondents) Case Number: 99-04214 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Philip Gottlieb ("P. Gottlieb") and Helene Gottlieb ("H. Gottlieb"), hereinafter collectively referred to as "Claimants": Brian W. Shaughnessy, Esq., Shaughnessy, Volze