AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Dean Witter Reynolds, Inc., Claimant and Counter-Respondent, and No. 96-04069 Frederick B. Blagg, Respondent, Counter-Claimant, and Third Party Claimant, and E. Brad Hudgens, and Robert W. Bass, Third Party Respondents. REPRESENTATION OF PARTIES Claimant and Counter-Respondent, Dean Witter Reynolds, Inc., and Third Party Respondents, E.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Brian Volmer, and Metvin G Volmer, Claimants, vs. No. 96-04068 Slifel, Nicolaus & Co., Inc., Respondent. REPRESENTATION OF PARTIES Brian Volmer and Melvin G. Volmer ("Claimants") represented themselves. At hearing, Brian Volmer appeared on behalf of Claimants along with the assistance of Mr. McHugh, an investment counsellor. Melvin G. Volmer

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-04065 Andrew Geiss, claimant v. Nationwide Securities Corporation and Peter Restivo, respondents. ATTORNEYS: Claimant appeared Pro Se., Littleton, CO. Respondent Nationwide Securities Corporation did not appear. Respondent Peter Restivo appeared Pro Se - Valley Stream, New York. DATE FILED: September 12, 1996. CASE SUMMARY: Claimant alleged failure to foll

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David Eckert 96-04064 Name of Respondent E*Trade Securities, Inc. CASE SUMMARY (n a case tiled with National Association of Securities Dealers Regulation, Inc. on September 12. claimant David Eckert ("claimant"), who appeared Pro Se, alleged that respondent E*Trade Securities. Inc. ("E*Trade") gave him an inaccurate

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Gerry Fiecke and 96-04062 Name of Respondent Greenway Capital Rocco Basile REPRESENTATION OF PARTIES Gerry Fiecke ("Claimant") was represented by pro se. Greenway Capital ("Respondent") did not appear at the hearing. Rocco Basile ("Respondent") did not appear at the hearing. CASE INFORMATION The Statement of Claim wa

AWARD NASD REGULATION INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between * Name n( Claimants John Eberle; Aileen Bolger 96-04059 of Respondents Duff & Phelps Securities Co,; Phoenix Duff &Phelps REPRESENTATION For Claimant: John Eberie ("Eberie") and Aileen Bolger ("Bolger") were represented by Robert A. Glaves, Esq. of Menges, Mikus & Molzahn, located in Chicago, Illinois. For Respondent: Duff & Phelps Secur

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-05196 John J, Boyle, claimant vs. Jason Weissman and Morgan Stanley Dean Witter, Inc., respondents. ATTORNEYS; Claimant appeared Pro Se, Riverdale, NY. For Respondents appeared in-house counsel, Douglas F. Stone, Esq., New York, NY. DATE FILED: November 22, 2000 CASE SUMMARY; Claimant alleged respondents failed to execute stop loss orders as requested. Claimant maintained that

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Toni Oliveri 96-04048 Name of Respondents Daniel Abbatemarco Garvin Guy Butler, G.P. Garban, L.L.C. REPRESENTATION For Claimant Toni Oliveri ("Oliver!") appeared Richard Schulman, Esq., of the law offices of Bryan Cave LLP, located in New York, New York. For Respondents Daniel Abbatemarco ("Abbatemarco"), Garvin Guy Butler, G.P. ("Garvin") and G

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-04047 Mario L. Bianco, claimant v. Dreyfus Service Corp., respondent. ATTORNEYS: Claimant appeared Pro Se., West Babylon, NY. For Respondent Through its Chief Legal Officer, Andrew C. Wels - New York, NY. DATE FILED; 9/10/96. CASE SUMMARY: Claimant alleged failure to follow instructions to mail check from the close out of his account causing loss on fu

NASD REGULATION AWARD NASD REGULATION, INC. lo the Matter of the Arbitration Between Name of Claimant Alfred Bornemann % 96-04046 Name of Respondents Investors Associates, I tic Steven Cohen REPRESENTATION For Claimant, Alfred Bornemann {"Claimant"), appeared Anthony J. Horn, Esq. located Ln Philadelphia, Pennsylvania. For Respondents, Investors Associates, inc. ("IAI") and Steven Cohen ("Cohen") (collectively the "Respondents"),