NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASEiOO-03334 Paine Webber Incorporated, claimant vs. Opie Auten, respondent. ATTORNEYS: For Claimant appeared Lisa A. Catalano, Esq., of the law offices of Joel E. Davidson, Park Ridge, NJ. Respondent has not submitted a response to the Statement of Claim. DATE FILED: August 4, 2000 CASE SUMMARY: Claimant alleged that respondent failed to repay the outstanding balance due on an unsecur

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Mihaly Gaal and Ilona Gaal NASD Case No. 99-00695 Hearing Site: Tampa, Florida Names of Respondents A.G. Edwards & Sons, Inc. and Thomas Wilkinson REPRESENTATION OF PARTIES Claimants, Mihaly Gaal and Ilona Gaal, hereinafter collectively referred to as "Claimants": Stephen D. Spivey, Esq., Ocala, Florida. Respondents, A.G. Edwards & Sons, Inc. ("Ed

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: TIBA Finanz Anstalt (Claimant/Counter Respondent) v. Morgan Stanley Dean Witter, Inc. Keith Waddell. and William Martin Lacy, Jr. (Respondents) -and- Morgan Stanley Dean Witter, Inc. (Counter Claimant) v. TIBA Finanz Anstalt (Counter Respondent) -and- Morgan Stanley Dean Witter, Inc. (Third Party Claimant) v. Nevis Trust Limited, Peter Buchel, Claud

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Patrick Corrigan and 99-00681 Minneapolis, Minnesota Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. REPRESENTATION OF PARTIES Patrick Corrigan ("Claimant") was represented by John D. Thompson, Esq. and Daniel Q. Poretti, RIDER BENNETT EGAN & ARUNDEL, LLP, Minneapolis, MN Merrill Lynch Pierce Fenner & Smith, Inc. ("Respondent") was

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Mali Mirmesdagh Case No. 99-00675 Names of Respondents Olde Discount Corporation Timothy Brown REPRESENTATION OF PARTIES For Claimant Mali Miimesdagh hereinafter referred to as "Claimant": J. Pat Sadler, Esq. and Eric Hovdesven, Esq. of the law firm of Sadler & Associates, P.C., Atlanta, Georgia. For Respondents Olde Discount Corporation ("Olde") and Ti

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jan Poort, (Claimant) vs. West America Securities Corp., Robert B. Kay, Gregory R. Myers, and Charles J. Newman, (Respondents) Case Number: 99-00665 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant Jan Poort, hereinafter referred to as "Claimant": Howard M. Rosenfield, Esq., a sole practitioner, Avon, CT. Respondents West America Securities Corp. ("We

1 N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00664 Charles Schwab & Co., Inc., claimant vs. Douglas M. Ingersoll, respondent. ATTORNEYS: For Claimant, Charles Schwab & Co., Inc., appeared Linda A. Gallagher, Esq. and Stephen S. Berkley, Esq., of the firm Gomberg Kane & Fischer, Ltd., Chicago, IL. Respondent, Douglas M. Ingersoll, appeared Pro Se., Tampa, FL. DATE FILED: 02/16/99 CASE SUMMARY: C

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00663 Terra Nova Trading, LLC, claimant vs. Yap Fei En, respondent. ATTORNEYS: Claimant Terra Nova Trading, LLC ("Claimant") appeared through Steven P. Gomberg, Esq. and Linda A. Gallagher, Esq. of the firm Gomberg Kane & Fischer, Ltd., Chicago, IL. Respondent Yap Fei En ("Respondent") did not respond to the Statement of Claim in this matter. DATE FILED: 02/16

AWARD NASD Regulation, Inc. CASE: 99-00662 Charles Schwab & Company, Inc., claimant vs. Mike Miller, respondent. ATTORNEYS: For Claimant appeared Linda A. Gallagher Esq. and, Steven Berkeley, Esq., of the firm, Gomberg, Kane & Fischer, Ltd., Chicago, IL, Respondent Mike Miller did not respond to the Statement of Claim. DATE FILED: 2/16/1999 CASE SUMMARY: Claimant alleged that an erroneous credit was posted to respondent's account. Claimant furth

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-00660 Anthony F. Vivona, claimant vs. Fechtor, Detwiler & Co., Inc. and David Dellorso, respondents. ATTORNEYS: Claimant Anthony F. Vivona appeared Pro Se., Brooklyn, New York. For Respondent Fechtor Detwiler & Company, appeared in-house counsel, Stephen Z. Frank, Esq., Boston Massachusetts. Respondent David Dellorso appeared Pro Se., New York, New York.