NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04660 HD Brous & Co., Inc., claimant vs. Crescent Partners, L.P., Jeffrey S. Stone and Crescent Partners Fund, L.P., respondents. ATTORNEYS: For Claimant appeared Keith Olin, Esq. of the firm Morgan, Lewis & Bockius, LLP, Miami, FL. Respondents did not submit a response to the Statement of Claim. DATE FILED: October 15, 1999 CASE SUMMARY: Claimant alleged that respondents effec

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Securities, Inc. vs. Bradley E. White Case Number: 99-04653 Hearing Site: Dallas, Texas REPRESENTATTON OF PARTIES Claimant, First Union Securities, Inc. ("First Union")* hereinafter referred to as ''Claimant": Diane Fischer, Esq., and Ronald Kane, Esq. of Kane & Fischer, Chicago, IL. Respondent, Bradley E. White ("White"), hereinafter referred to as "Respon

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Stone Manufacturing, Inc. f/k/a Umbro International, Inc. Case No. 99-04652 Name of Respondent Salomon Smith Barney, Inc. REPRESENTATION OF PARTIES For Stone Manufacturing, Inc. f/k/a Umbro International, Inc. ("Stone"), hereinafter referred to as "Claimant": W. Shawn Murnahan, Esq. of Alston & Bird LLP, Atlanta, Georgia. For Salomon Smith Barne

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Beth Hanenburg, Joann Murray, Robert Fromme, and Mark Tedesco, Claimants v. Cohig & Associates, Inc., Lawrence J. Vink, and Troy M. Peters, Respondents Case Number: 99-04650 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: For Respondent Cohig & Associates, Inc. For Respondent Lawrence J. Vink: For Respondent Troy Peters: John G. Cap

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04648 The Foosaner Family Trust DTD 5/3/93, claimant vs. Frank Varsalona and Vic Lessinger, respondents. ATTORNEYS: For Claimant, The Foosaner Family Trust DTD 5/3/93, ("Claimant") appeared Arthur Foosaner, Irvine, CA. For Respondent, Vic A. Lessinger, ("Lessinger"), appeared Stavroula E, Lambrakopoulos of the firm Kirkpatrick & Lockhart LLP, Washington, DC. Respondent, Frank J

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between David L. Vickery and 00-05209 Southfield, Michigan LifeUSA Securities, Inc. REPRESENTATION OF PARTIES David L. Vickery ("Claimant") was represented by Joseph H. Spiegel, Esq., Ann Arbor, Michigan. LifeUSA Securities, Inc. ("Respondent") was represented by Bradlee Karan, Esq., Minneapolis, Minnesota. CASE INFORMATION The Statement of Claim was filed on or abo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04647 GKN Securities Corp., Claimant vs. John S. Toomey, Respondent. ATTORNEYS: For Claimant GKN Securities Corp., ("Claimant"), appeared in-house counsel, Herbert O. Sontz, New York, NY. Respondent John S. Toomey ("Respondent"), did not respond to the Statement of Claim. DATE FILED: October 14, 1999 CASE SUMMARY: Claimant alleged that Respondent breached their contractual obligati

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Ellis E. Halperin Case No. 99-04645 Name of Respondents J. C. Bradford & Co. (n/k/a PaineWebber, Inc.) Seward Anderson Michael A. Payne REPRESENTATION OF PARTIES Claimant Ellis S. Halperin ("Claimant") was represented by Charles W. Austin of the law firm of C.W. Austin, P.C., Richmond, VA. Respondents PaineWebber, Michael Payne an

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John Dowd, (Claimant) vs. Morgan Grant Capital Corp., (Respondent) Case Number: 99-04635 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, John Dowd, hereinafter referred to as "Claimant", appeared pro se. Respondent, Morgan Grant Capital Corp., hereinafter referred to as "Respondent", did not make an appearance in this matter. CASE INFORMATION State

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bruce Orenstein, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith Inc. and Linda Houston, (Respondents) Case Number: 99-04630 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Bruce Orenstein, hereinafter referred to as "Claimant": Joel E. Davidson Esq., Law Office of Joel E. Davidson, Esq., P.C, New York, NY. Respondents, Merrill Lynch, Pierce, Fenn