Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bradley Conn, (Claimant) vs. Gaines, Berland, Inc. and Mark Gussin, (Respondents) Case Number: 99-01567 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Bradley Cohn, hereinafter referred to as "Claimant": David E. Robbins, Esq., Kaufmann, Feiner, Yamin, Gildin & Robbins LLP, NY. Respondent, Gaines, Berland, Inc. ("Gaines"): Martin H. Kaplan, Esq., Gusrae,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: George Bialecki, Jr., (Claimant) vs. Patterson Travis, Inc., Judah L. Wernick, Adam Pekale, and Glen W. Dautrick Case Number: 99-01552 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant George Bialecki, Jr. ("Bialecki"): Otto K. Hilbert, IL, Esq., Reinhart, Boerner, Van Deuren Denver, Colorado. Respondent Patterson Travis, Inc. ("Patterson Travis")' Calvin J. Domen

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Cleveland Walcutt and Cleveland Walcutt TTEE U/A DTD 9/22/93, by Cleveland Walcutt, jointly and severally, Claimants Case Number: 99-1551 vs. Hearing Site: Detroit, Michigan John Bruzzese, Fred Plan, and David Mellio, jointly and severally, Respondents. REPRESENTATION OF PARTIES Claimants, Cleveland Walcutt and Cleveland Walcutt TTEE U/A DTD 9/22/93, by Cleveland Walcu

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01548 Karoly Szasz, claimant vs. Scottsdale Securities, Inc., respondent. ATTORNEYS: Claimant Karoly Szasz ("Claimant"), appeared Pro Se., Wooster, OH. For Respondent Scottsdale Securities, Inc. ("Respondent"), Mark Finnegan, Compliance Manager, Scottsdale Securities, Inc., St. Louis, MO. DATE FILED: April 1, 1999 CASE SUMMARY: Claimant alleged that due to

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joan Catalini and James Raite, (Claimants) vs. Prudential Securities, Inc., PaineWebber, Inc., and James Hammond, (Respondents) Case Number: 99-01544 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimants Joan Catalini ("Catalini") and James Raite ("Raite"), hereinafter collectively referred to as "Claimants": Beth A. Brownson, Esq., Greene, Hershdorfer & Sharpe,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Linda Wright, Gerald Lisbon and Gertrude Shiner, Trustee of Charles A. and Gertrude Shiner Trust, Claimants v. Stephen Becker and Income Network Co., Respondents Case Number: 99-01543 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Respondent Stephen Becker: For Respondent Income Network Company: David Liebr;ider r Esq. The Law Offices o

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Trim Corporation of America, Inc., (Claimant) vs. Salomon Smith Barney Inc., (Respondent) Case Number: 99-01542 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Trim Corporation of America ("Trim"), hereinafter referred to as "Claimant" : Stanley , CPA Trim Cororation of America. Brookln. NY. Respondent, Salomon Smith Barney Inc. ("Salomon"), hereinafter referred t

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Louise Noyes, Claimant vs. New England Securities Corporation and G. Curtis Borgwardt, Respondents. Case Number: 99-01540 Hearing Site: Milwaukee. Wisconsin REPRESENTATION OF PARTIES Claimant, Louise Noyes ("Noyes"), was represented by Mark E. Sanders, Esquire, of Hailing & Cayo, S. C., Milwaukee, Wisconsin. Respondent, New England Securities Corporation ("New England"), w

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John R. Paine, (Claimant) vs. First Providence Financial Group, Inc., First Providence Financial Group, LLC, Paul G. Wasserman, and Richard Bredhoff, (Respondents) Case Number: 99-01537 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, John R. Paine, hereinafter referred to as "Claimant": Edward G. Toptani, Esq., Toptani Law Offices, New York, NY. Respon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James C. Ciferni, Claimant v. Datek Online Brokerage LLC, Respondent Case Number: 00-03455 Hearing Site: Los Angeles, California For Claimant: James C. Ciferni Pro Se Ventura, California For Respondent: G. Thomas Fleming, III, Esq. Jones, Bell, Abbott, Fleming & Fitzgerald Los Angeles, California CASE INFORMATION Statement of Claim filed: September 25, 2000 C