Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Michael Parker Case No. 99-02167 Names of Respondents Investors Associates, Inc. Herman Epstein Lawrence J, Penna James M. Vaughn William M. Cutrone Keith D. Grossman Glenn Lavender REPRESENTATION OF PARTIES Michael Parker ("Parker"), hereinafter referred to as "Claimant", appeared pro se. Respondents Investors Associates, Inc. ("Investo

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Delbert Snedacker, (Claimant) vs. Prudential Securities, Inc. and Helen Lauderdale, (Respondents). Case Number: 99-02166 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Delbert Snedacker, hereinafter referred to as "Claimant": Larry E. Meyer, Esq., Nelson, McCormick, Hancock & Newton, Houston, Texas. Respondents, Prudential Securities, Inc. ("Prudential") and Hele

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: OLDE Discount Corporation vs. Hamid Farida a/k/a Greenfield Investors Case Number: 99-2161 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, OLDE Discount Corporation, hereinafter referred to as "Claimant": Michael P. Knittel, Esq., and Aaron L Kleid, Esq., OLDE Discount Corporation, Detroit, Michigan. Respondent, Hamid Farida a/k/a Greenfield Investors, hereinafter

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Moses Greenfield, (Claimant) vs. Track Data Securities, (Respondent) Case Number: 00-03527 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Moses Greenfield, hereinafter referred to as "Claimant", appeared pro se. Respondent, Track Data Securities, hereinafter referred to as "Respondent": Joseph F. Keenan, Esq., a sole practitioner, New York, NY. Previously

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Hazel Hopkins Case No. 99-02157 Names of Respondents Harry Nell First Lauderdale Securities, Inc. Michael B. Curran Jayne Reed Curran REPRESENTATION OF PARTIES For Claimant: Barbara L, Wolf, Esq. of Barbara L. Wolf, P.A., Ft. Lauderdale, FL. For Respondent Harry Nell: Dennis H, Nell, Yaphank, NY. For Respondent First Lauderdale Securi

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Thomas W. Payne, Claimant / Counter-Respondent v. 99-02154 Des Moines, Iowa Lincoln National Life Insurance Company, and Lincoln Financial Advisors Corporation, Respondents / Counter-Claimants and Mary Ann Burris and Barbara Crosby, Respondents / Counter-Claimants REPRESENTATIQM OF PARTIES Thomas W. Payne ("Claimant") was represented by David L. Charles, Esq.,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Melanie S. Hamilton, Claimant v. Arrowhead Financial Group, Inc., Larry Sharp, Ernest Short, Pamela McAllister, James Estes and Robert Thomas Securities, Inc., Respondents. Case Number: 99-02150 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: David C. Hamilton Oak Hills, California For Respondent, Arrowhead Financial Group, Inc., Richard J. Bergstrom, E

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02147 Charles Schwab & Co., Inc., claimant vs. A.R. Fortune, Inc., respondent. ATTORNEYS: For Claimant Charles Schwab & Co., Inc. ("Schwab"), Edmund V. Saucedo, Esq., Case Manager, Office of Corporate Counsel, Charles Schwab & Co., Inc., San Francisco, California. For Respondent A.R. Fortune ("Fortune"), Roland Breton, General Manager, A.R. Fortune, Inc., Fort

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02146 Olde Discount Corporation, claimant vs. Russell T. Keeton, respondent. ATTORNEYS: For Claimant Olde Discount Corporation ("Claimant"), Aaron L. Kleid, Esq., attorney for Olde Discount Corporation, Detroit, Michigan. Respondent Russell T. Keeton ("Respondent"), did not respond to the Statement of Claim. DATE FILED: 05/10/1999 CASE SUMMARY: Claimant ma

N,A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02145 Olde Discount Corp., claimant vs. Edmond Masjedi, respondent. ATTORNEYS: For Claimant Olde Discount Corp. ("Claimant"), Aaron L. Kleid, Esq., attorney for Olde Discount Corp., Detroit, Michigan. Respondent Edmond Masjedi, did not respond to the Statement of Claim. DATE FILED: 05/10/1999 CASE SUMMARY: Claimant alleged that on September 23, 1998, Respo