Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael & Annette LaCour vs. E*Trade Securities, Inc. Case Number: 99-4130 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimants Michael & Annette LaCour ("LaCours"), hereinafter collectively referred to as "Claimants": Alexis Beck, Esq., UAW-GM Legal Services Plan, Detroit, Michigan. Respondent, E*Trade Securities, Inc. ("E*Trade"), hereinafter referred to as "R

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants George Hughes Money Purchase Pension Plan George Hughes Profit Sharing Plan Case No. 99-04126 Names of Respondents Robert R. Blagojevich Invest Financial Corporation REPRESENTATION OF PARTIES For George Hughes Money Purchase Pension Plan (the "Pension Plan") and George Hughes Profit Sharing Plan (the "Profit Sharing Plan") (hereinafter collectively re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04124 Merrill Lynch, Pierce, Fenner and Smith, claimant vs. Turner Holdings, Inc., respondent. ATTORNEYS: For Claimant appeared Kathy D. Patrick, Esq. of the firm Gibbs & Bruns, LLP, Houston, TX. Respondent did not respond to the Statement of Claim. DATE FILED: September 8, 1999 CASE SUMMARY: Claimant alleged that respondent breached its customer agreement by to r^nnv an rMitiT^Tid

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04119 Your Discount Broker, claimant vs. Steven Otto, respondent. ATTORNEYS: Claimant, Your Discount Broker, ("Claimant"), appeared through its Executive Representative, William J, Eraser, Boca Raton, FL, Respondent, Steven Otto, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: September 7, 1999 CASE SUMMARY: Claimant alleged that Respondent liquidated his pos

NASD DISPUTE RESOLUTION AWARD NASD PUT RESOLUTION. INC. CASE: 99-041 18 Muriel and Marvin Strom, individually and as Trustees of The Marvin Strom Living Trust u/it/d 1/10/8$, and The Muriel Strom Living Trust u/a/d 1/10/89, Claimants vs. Salomon Smith Barney and Eric Applewhite, Rcspondencs. ATTORNEYSr For Claimants, Muriel and Marvin Strom, individually and as trustees ("Claimants"), appeared Mitchell L> Perlstein, Esq. of the Investor's Law Center, Bo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant John Garcia Case No. 99-04115 Names of Respondents Antonio G. Raimo Lawrence A. Zelin Madison Capital Markets Corp. REPRESENTATION OF PARTIES For John Garcia ("Garcia"), hereinafter referred to as "Claimant": Gregory C. Yadley, Esq. and Michael H. Robbins, Esq. of the law firm of Shumaker, Loop & Kendrick, LLP, Tampa, Florida. For Antoni

Award ORIGINAL NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Thomas Tomanek and Angelita Tomanek, Claimants v. LCP Capital Corp. d/b/a Silver Capital Group, Rocco Roveccio and Joseph Quattrochi, Respondents Case Number: 00-05463 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Thomas Tomanek Hayward, California For Respondent LCP Capital Corp. d/b/a Silver Capital Group: Charles S. Stofte

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Luz and Alicia Alvarez Case No. 99-04110 Names of,RespQndepte JW Charles Securities, Inc. n/k/a JW Genesis Securities, Inc. Howard Shapiro * Hearin Site: Boca Raton. Florida REPRESENTATION OF PARTIES For Luz and Aiicia Alvarez, hereinafter referred to as "Claimants"; Lloyd B. Silvennan, Esq., Dsvie, Florida. For JW Charles Securities, Inc. n/k/a J

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joyce Knutson and Neil Knutson, (Claimants) vs. Michael Levine, Michael Verbitsky, Bennett, Mullaney & Co., John Doe, and National Financial Services Corporation, (Respondents). Case Number: Hearing Site: 99-04109 Denver, Colorado REPRESENTATION OF PARTIES Claimants, Joyce Knutson and Neil Knutson, hereinafter collectively referred to as "Claimants": Harvey W. Shaver,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION* INC. CASE: 99-04105 Gary Elman, claimant vs. Mark Vega, and Security Capital Trading, Inc., respondents. ATTORNEYS: Claimant, Gary Elrnan ("Claimant"), appeared Pro Se,, Manalapan, NJ. For Respondents, Mark Vega, and Security Capital Trading, Inc. (collectively "Respondents"), appeared A. Joseph Tandet, Esq., New York, NY. DATE FILED: September 7, 1999 CASE SUMMARY: Claimant alleged that he plac