N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) NASD Arbitration No. 96-00676 Samuel S. Dayan, D.D.S., and Sharona Dayan, D.D.S. Name of Respondent(si Toluca Pacific Securities Corporation Harold S. Minsky REPRESENTATION For Claimants: Michael R. Simmonds, Esq., Wineberg, Simmonds & Narita r San Francisco, California For Respondents: Neville L. J

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Daniel H. Mosley 96-00874 Name of Respondents Dickinson & Co. Andrew J. Galy In a case filed with the National Association of Securities Dealers, Inc. on February 22, 1996, claimant Daniel Mosley, who appeared Pro Se, alleged that respondents Dickinson & Co. ("Dickinson") and Andrew J. Galy ("Galy"), deceived and mislead him ab

-NOV.30.1998' 11:03*, NflSD REGULATION PL NO.786 P.23 NASD REGULATION, INC. AWARD Office of Dispute Resolution 1 In the Matter of the Arbitration Between Narpes frf Claimants Chris and Uouisa H, Starkey Texas Capital Securities Inc. Michael Ator Case No, 96-00873 OF PARTIES For Claimants: Robert B. Cook, Esq., North Palm Beach, Florida. For Respondent Texas Capital Securities Inc. (TCS M ): Russell C. Burk, Esq., Englewoo

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Mount Vernon Mortgage Co., through and by its general partner Mount Vernon Sales & Mortgage Corp., Eugene Glick and Marilyn Glick, and EBG Insurance Agency, Corp., Claimants, and No. 96-00868 Bear, Stearns & Co., Inc. and Douglas Sharon, Respondents. REPRESENTATION OF PARTIES Claimants, Mount Vernon Mortgage Company, through and by its general p

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Paul DePatie, Claimant v. Ameritrade, Inc., Respondent Case Number: 00-05422 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: William F. Davis, Esq. Law Offices of William F. Davis Los Angeles, California For Respondent: Andrew J. Harger, Esq. Ameritrade, Inc. Bellevue, Nebraksa CASE INFORMATION Statement of Claim filed: Decembe

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Marian Bellama 96-00863 Name of Respondent ^Merrill Lynch Pierce Fenner & Smith Inc REPRESENTATION Claimant Marian Bellama ("Claimant") represented herself. Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") was represented by Robert E. Goldberg, Vice President and Senior Counsel, Merrill L

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bennett Schwartz 96-00859 Stuart. Coleman & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 26, 1996, Claimant Bennett Schwartz ("Claimant"), who appeared Pro Se, alleged that Respondent Stuart, Coleman & Co., Inc. ("Respondent"), through its agent Ms. Janet Fleischman,

N.A.S.D. AWARD < 4 i NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant JohnC. White 96-00858 Name of Respondents National Discount Brokers Everett Lang Seth Rosen CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 26, 1996, Claimant John C. White ("Claimant"), who appeared Pro Se, alleged that Respondents National Discount Brokers

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gregory M. Holtzapple 96-00855 Name of Respondents Greenway Capital Corp. Peter Charles Restivo David Lavender CASE SUMMARY In a claim filed with the National Association of Securities Dealer, Inc. on February 27, 1996, Claimant Gregory M. Holtzapple ("Claimant"), who appeared Pro Se, alleged that Respondents Greenway C

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Lelia Dabney Gregory Trust 96-00852 Name of Respondents Robert Todd Financial Corp. Jeffrey Leech REPRESENTATION For Claimant Lelia Dabney Gregory Trust ("Claimant" or "Gregory Trust") appeared Robert H. McKnight Esq. of the law firm England & McKnight located in Atlanta, Georgia. Respondent Robert Todd Financial Corp. ("RTF") did not appear For Respondent Je