Award NASD Dispute Resolution In the Matter of the Arbitration Between: Willi Diener (Claimant) v. Prudential Securities, Inc. n/k/a Prudential Equity Group, Inc. and Prudential-Bache International, Ltd. (Respondents) Case Number: 02-05916 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimant Willi Diener ("Diener") hereinafter referred to as "Claimant": David S. Ratner, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William Zach and Jacqueline Zach (Claimants) v. Advest and Edward Carlsen, Sr. (Respondents) Case Number: 02-05915 Hearing Site: Buffalo, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants William Zach ("W. Zach") and Jacqueline Zach ("J. Zach") hereinafter collectively referred to as "Claimants": Jeffrey A. Sellers, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Darla Kerestesy and Louis Kerestesy (Claimants) v. Merrill Lynch Pierce Fenner & Smith, Inc., and Janet Vettel (Respondents) Case Number: 02-05912 Hearing Site: Cleveland, OH REPRESENTATION OF PARTIES Claimants, Darla Kerestesy and Louis Kerestesy ("Kerestesy"), hereinafter collectively referred to as "Claimants": Brian Green, Esq., Shapero, McGinnis, Green, later & Michel. Beac

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Reed Dan Weiser (Claimant) v. Donald Hunt Ackerman and Kevin Michael Peters (Respondents) Case Number: 02-05909 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Associated Person and Associated Person. REPRESENTATION OF PARTIES Claimant Reed Dan Weiser ("Weiser**) hereinafter referred to as Claimant" appeared pro se. Respondent Donald Hunt Ackerma

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04061 Charles Schwab & Co., Inc., Claimant vs. William R. Lewis, Respondent. ATTORNEYS: For Claimant appeared Stephen S. Berkeley, Esq., of the firm Kane & Fischer, Ltd., Chicago, IL. Respondent appeared Pro Se, Neptune Beach, FL. DATE FILED: September 18, 2000 CASE SUMMARY: Claimant alleged that Respondent failed to deposit the necessary funds in his account to pay for his pur

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Dandrick P. Me White and Emma M. Nero Names of the Respondents Prudential Securities Incorporated and Sean T. Stein Case Number: 02-05908 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Dandrick P. Me White and Emma M. Nero, hereinafter collectively ref

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ann T. Donahue and 02-05904 Phoenix, Arizona Name of Respondents Fidelity Brokerage Services LLC Steven D. Biedermann Fidelity Investments Life Insurance Company Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ann T. Donahue, hereinafter referred to as "Claimant": John J. Nicgorski, Esq.,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Scott O. Sarasin and Andrea Sarasin and Names of Respondents Morgan Stanley Dean Witter, Inc. and Kevin Curry Case Number: 02-05903 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Scott O. Sarasin and Andrea Sarasin ("Claimants") were represented by Joel H. Kaufman

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark H. Radmanesh, M.D., Claimant v. Advest, Inc. and Al Mance, Respondents Case Number: 02-05902 Hearing Site: Louisville, Kentucky Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Mark H. Radmanesh, M.D., hereinafter referred to as "Claimant": J. Stephen Smith, Esq. Taft, Stettinius & Hollister LLP, 1717 Di

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles Schwab & Co., Inc. (Claimant) vs. Anthony J. Andresakis and Gloria Andresakis, (Respondents) Case Number: 02-05 892 Hearing Site: New York, New York Nature of Dispute: Member vs. Customers REPRESENTATIQ? Claimant, Charles Schwab & Co., Inc., hereinafter referred to as "Claimant": Brandon K. Hemley, Esq., Charles Schwab & Co., Inc., San Francisco, CA. Respo