NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04104 Carl Friedman, claimant vs. Everen Securities, Inc., n/k/a First Union Securities, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se., Reno, NV. For respondent appeared in house counsel, Bruce Lewitas, Esq., Chicago, IL. DATE FILED: September 7, 1999 A T>V- Living Trust accounts which were inconsistent with his investment objective.. Claimant further alleged t

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Michelle Toneff Case No. 99-04103 Name of Respondent Ameritrade, Inc. REPRESENTATION OF PARTIES Michelle Toneff, hereinafter referred to as "Claimant", appeared pro se. For Ameritrade, Inc. ("Ameritrade"), hereinafter referred to as "Respondent": James J. Vihstadt, Regulatory Attorney, Ameritrade. CASE INFORMATION Statement of Claim filed on

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04089 Casey Baum, claimant vs. DLJ Direct, Inc., respondent. ATTORNEYS: Claimant, Casey Baum, appeared Pro Se., New York, NY. For respondent DLJ Direct, Inc., appeared Caroline K. Hall, Esq. of the firm Roseman & Colin LLP, New York, NY. DATE FILED: September 8, 1999 CASE SUMMARY: Claimant alleged that respondent defrauded him into opening a DLJ Direct, Inc. ("DLJD") account by

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Sidney Myers, (Claimant) vs. Shufro, Rose & Co., LLC, Fred Ehrman, and Steven J. Glass, (Respondents) Case Number: 99-04086 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Sidney Myers, hereinafter referred to as "Claimant": David J. Rabbach, Esq., Faust, Rabbach & Oppenheim, LLP, New York, NY. Respondents, Shufro, Rose & Co., LLC ("Shufro")

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: The Katz Family Foundation vs. Kennedy Cabot & Company n/k/a Calabasas Asset Holding Company Case Number: 99-04064 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES The Katz Family Foundation & Company ("Katz"): Bradley J. Waller, Esq., Klein, Stoddard, Buck & Waller, DeKalb, Illinois Respondent Kennedy Cabot, n/k/a Calabasas Asset Holding Company ("Kennedy Cabot"): Ge

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants James Samuel Reeves and Quyen Thi Reeves Case No. 99-04054 Names of Respondents Edward D. Jones & Co. Michael K. Root REPRESENTATION OF PARTIES For James Samuel Reeves and Quyen Thi Reeves ("Reeves"), hereinafter collectively referred to as "Claimants": George L. Beck, Jr., Esq. of the law firm of Beck & Byrne, P.C., Montgomery, Alabama and Warren Row

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04053 Olde Discount Corporation, claimant vs. Rose Olivier and Sherry Zucker, respondents. ATTORNEYS: For Claimant, Olde Discount Corporation, ("Claimant") appeared in-house counsel, Aaron L. Kleid, Esq., Detroit, MI. Respondents Rose Olivier and Sherry Zucker (collectively "Respondents"), did not respond to the Statement of Claim. DATE FILED: September 3, 1999 CASE SUMMARY: Cl

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Wallace W. McCoy Trust, Claimant v. Morgan Stanley Dean Witter Inc. and Richard Balaes, Respondents Case Number: 00-05460 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California For Respondents: James D. Yellen, Esq. Morgan Stanley Dean Witter Inc. New York, N

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Penson Financial Services, Inc., Claimant v. Toyama Enterprise, Inc., Respondent Case Number: 99-04051 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Thomas W. Craddock, Esq. Wm. David Simmons, Esq. McGuire, Craddock, Strother & Hale, P.C. Dallas, Texas For Respondent: Did Not Appear CASE INFORMATION Statement of Claim filed: Sept

STIPULATED AWARD NASD Dispute Resolution, Inc. Case No. 99-04044 Southfield, Michigan In the Matter of the Arbitration Between Name of Claimant Jason Guerreso and Mario Guerreso Name of Respondent Datek Online Brokerage Services* Corp. Name of Counter-Claimant Datek Online Brokerage Services, Corp. Name of Counter-Respondents Jason Guerreso and Mario Guerreso REPRESENTATION For Claimants and Counter-Respondents, Jason Guerreso an