N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. CMC. CASE: 99-02142 Sheri Ross-Carucci, claimant vs. Suretrade, Inc., respondent. ATTORNEYS: For Claimant Sheri Ross-Carucci ("Claimant"), appeared Marty Ross, Solana Beach, CA. For Respondent Suretrade, Inc. ("Respondent"), Yolande D. Black, Assistant Director of Compliance for Suretrade, Inc., New York, NY. DATE FILED: 5/10/1999 CASE SUMMARY: Claimant maintained that

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02141 Charles Schwab & Co., Inc., claimant vs. James J. Sedlar, respondent. ATTORNEYS: For Claimant Charles Schwab & Co., Inc ("Claimant"), Diane C. Fischer, Esq., Gomberg Kane & Fischer, Ltd., Chicago, Illinois. Respondent James J. Sedlar ("Respondent"), did not respond to the Statement of Claim. DATE FILED: 05/10/1999 CASE SUMMARY: Claimant maintained th

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC, CASE: 99-02140 Larry Kwiat, claimant vs. John Scaratnucich d/b/a Royce Investment Group, respondent. ATTORNEYS Claimant Larry Kwiat ("Claimant"), appeared Pro Se., Schoumburg, IL. For Respondent John Scaramucich ("Respondent"), Joseph F. Keenan, Esq., New York, NY. DATE FILED: May 10, 1999 CASE SUMMARY: Claimant alleged that Respondent falsified his margin agreement fo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03526 Charles Schwab & Company, Inc., Claimant vs. Dong Park, Respondent. ATTORNEYS: For Claimant appeared Stephen S. Berkeley, Esq., of the firm, Kane & Fischer, Ltd., Chicago, IL. Respondent did not respond to the Statement of Claim. DATE FILED: August 15, 2000 CASE SUMMARY: Claimant alleged that Respondent failed to deposit additional funds into his account to meet the margi

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02139 Charles Schwab & Co., Inc., claimant vs. Hai Victor Do, respondent. ATTORNEYS: For Claimant appeared in-house counsel members, Richard A. Karoly, Esq. and Mauricio S. Beugelmans, Esq., San Francisco, CA. Respondent appeared Pro Se., Lafayette, LA. DATE FILED: 05/10/1999 CASE SUMMARY: Claimant maintained that on or about November 30, 1998 unsolicited

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Maria Gionet, (Claimant) vs. Allmerica Investments, Inc. and Ronald P. Kashmanian, (Respondents) Case Number: 99-02131 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Maria Gionet ("Gionet"), hereinafter referred to as "Claimant": Keven A. McKenna, Esq., Keven A. McKenna, PC, Providence, RI. Respondent, Allmerica Investments, Inc. ("Allmerica"): Stephen B.

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Merrill Lynch Pierce Fenner & Smith, Inc. vs. 99-02130 Name of Respondents Dean Witter Reynolds, Inc. Jeffrey W. Bass REPRESENTATION For Merrill Lynch, Pierce, Fenner & Smith Inc. ("Claimant") appeared Christopher P. Stief, Esq. and Timothy S. Cole, Esq., Rubin & Associates, P.C., Paoli, Pennsylvania. For Jeffrey Bass ("Bass") appeared John H. West III

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Salomon Smith Barney, Inc. and Name of Respondent Michael G. Willis Name of Claimant Michael G. Willis and Name of Respondent Salomon Smith Barney, Inc. 99-02108 (cons with 99-02127) 99-02127 (cons with 99-02108) REPRESENTATION OF PARTIES Salomon Smith Barney, Inc. ("Claimant") was represented by Brent Rychener, Esq. and Richard Nagl

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Sun-Pacific Enterprises, Inc. Joseph C. Sun Case No. 99-02125 Names of Respondents E*TRADE Securities, Inc Michael Bruce Thompson Christos Michael Costakos REPRESENTATION OF PARTIES Sun-Pacific Enterprises, Inc. ("Sun-Pacific") and Joseph C. Sun ("Sun"), hereinafter collectively referred to as "Claimants", appeared pro se. For E*TRADE Securiti

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Claire Tatum, (Claimant) vs. Prudential Securities, Inc. and Helen M. Lauderdale, (Respondents). Case Number: 99-02123 Hearing Site: Houston. Texas REPRESENTATION OF PARTIES Claimants, Claire Tatum, hereinafter referred to as "Claimant": Larry Meyer, Esq., Nelson, McCormick, Hancock & Newton, Houston, Texas. Respondents, Prudential Securities, Inc. ("Prudential") and Helen M. Laud