Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant JW Genesis Securities, Inc. Case No. 99-00951 Name of Respondent Jeffrey Nuss a/k/a Jeffrey Banks REPRESENTATION OF PARTIES For Claimant JW Genesis Securities, Inc. ("JW Genesis"): Gregory Tendrich, Esq. of J.W. Genesis Securities, Inc., Boca Raton, Florida. , For Respondent Jeffrey Nuss a/k/a Jeffrey Banks ("Banks"): Russell L. Forkey, Esq., Fort Laude

NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Linda Massaro a -' : Wo. 9SMX>950 Names of Respondents Aragon Financial Services, Inc, Lewis M. McConnell David L. Shelbrick REPRESENTATION OF PARTIES For Linda Massaro ("Massaro"), hereinafter also referred to as "Claimant": Jeffrey P. Coleman, Esq., Clearwater, Florida. For Aragon Financial Services, Inc. ("Aragon"), Lewis M. McConnell ("McC

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Kenneth R. Young Case No. 99-00947 Names of Respondents Pruco Securities Corporation The Prudential Insurance Company of America REPRESENTATION OF PARTIES For Kenneth R. Young, ("Young"), hereinafter referred to as "Claimant": Elihu Bennan, P. A., Clearwater, Florida. For Pruco Securities Corporation ("Pruco") and The Prudential Insurance Compan

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: James E. Askey and Doris Askey, (Claimants) vs. Dain Rauscher Inc., (Respondent). Case Number: 99-00945 Hearing Site: Omaha, Nebraska REPRESENTATION OF PARTIES Claimants, James E. Askey ("Askey") and Doris Askey, hereinafter collectively referred to as "Claimants": C.W. Austin, Esq., Richmond, Virginia. Respondent, Dain Rauscher Inc., hereinafter referred to as "Respondent": S

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Carl Bernard Mack, Claimant vs. Ameritrade, Inc., Respondent. Case Number: 99-00943 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES Claimant, Carl Bernard Mack ("Mack"), hereinafter referred to as "Claimant": Carl Bernard Mack, Auburn, Washington Respondent, Ameritrade, Inc. ("Ameritrade*'), hereinafter referred to as "Respondent": James J. Vihstadt, Esq., Amer

NASD DISPUTE RESOLUTION AV/ARD NASD DISPUTE RESOLUTION. -INC. CASE:00-03366 David Lerner Associates, Inc., claimant vs. Themistocles Psomiadis, respondent. ATTORNEYS: For Claimant appeared Ruthann G, Niosi, Esq., New York, NY. Respondent appeared Pro Se, New York, NY. DATE FILED: August 7, 2000 CASE SUMMARY: Claimant alleged that respondent breached his employment contract when he failed to repay a liquidated damage fee on monies given to hjm under

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Brian and Deborah Lynn Case No. 99-00941 Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Randi Sue Grossman REPRESENTATION OF PARTIES Claimants appeared pro se. For Respondents Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill") and Randi Sue Grossman ("Grossman"): Charles L. Henderson, Esq. of Merrill Lynch Pierce Fenner & Smith,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James H. Oliver and Nebraska Land & Live Stock, Inc., Claimants v. National Securities Corporation, The Boston Group, Michael Allocca, Jr., Robert A. Diminico, Ian E. Gilbey, Kye Hellmers, Dwight C. Southwick, Janeann B. Knapp, Eric S. Hutner, Joseph W. Donohue, Jr., Philip E. Steele, Kevin E. Scannell, Clifford F. Mastricola, Scott L. Mathis, and John R. Brady, Respondents Ca

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Harry A. Flathmann, Claimant v. J. Alexander Securities, Inc. Blaine Reilly, ffl, and James Alexander, Respondents. Case Number: 99-00939 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondents . J. Alexander Securities, Inc. and James Alexander: CASE INFORMATION Ryan K. Bakhtiari, Esq. Aidikoff and Uhl Beverly Hills, Calif

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert Lechman and Foresight Capital Management, Inc., Claimants v. Stanley C. Brooks and Brookstreet Securities Corporation, Respondents Case Number: 99-00938 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Paul W. Thomas, Esq. Law Offices of Paul W. Thomas & Associates Carlsbad, CA For Respondents: H. Thomas Fehn, Esq. Fields, F