Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David R. Davis n, Claimant v. H.D. Brous & Co., Inc., Respondent Counterclaim: H.D. Brous & Co., Inc., Counterclaimant v. David R. Davis n, Counter-Respondent Case Number: 00-03256 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: David R. Davis n In Pro Per .,, Sherman Oaks, California For Respondent;. ; AlanS. Petlak t

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-00066 Pedro Nieves and Maria Castro Nieves, claimants vs. Quick &. Reilly, Inc., respondent. ATTORNEYS: Claimants, Pedro Nieves and Maria Castro Nieves, appeared Pro Se., Bronxville, NY. For Respondent, Quick & Reilly, Inc., appeared in-house counsel Douglas S. Flaherty, Esq. New York, NY. DATE FILED: January 7, 1999 " " " " CASE SUMMARY: Claimants alleged that Quick and Reilly fai

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants The Betty H. Long Living Trust The Estate of Everett N. Long vs. Case No. 99-00063 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc. Robert H. Sullivan REPRESENTATION OF PARTIES Claimants The Betty H. Long Living Trust ("Trust") and The Estate of Everett N. Long ("Estate"), hereinafter collectively referred to as "Claimants": John P. Connoll

Award NASD Dispute ResolutioMnc. In the Matter of the Arbitration Between: First of Michigan Corporation vs. Erik Hume Case Number: 99-58 Hearing Sijg: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, First of Michigan Corporation ("FOMC"), hereinafter referred to as "Claimant": A. Michael Palizzi, Esq. and Michael Coakley, Esq., Miller, Canfield, Paddock & Stone, PLC. Respondent Erik Hume ("Hume"), hereinafter referred to as "Respondent": David Ja

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lana Harden, (Claimant) vs. First Allied Securities, Inc. and Robert Albert Skulman (Respondents). Case Number: 99-00056 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Lana Harden, ("Claimant"): Raymond Harris, Esq. And Susan L. Burnett: Conant, Whittenburg French & Schachter, Dallas, Texas. Respondent First Allied Securities, Inc. ("Respondent First Allie

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Maximilian Palena, Trustee of the Maximilian Palena Living Trust Case No. 99-00048 Hearing Site: Tampa, Florida Names of Respondents DLJdirect Inc. Joe L. Roby !)i ^ i REPRESENTATION OF PARTIES - (Jl ; aj|nant Maximilian Palena, Trustee of the Maximilian Palena Living Trust, hereinaft^r>refered 1 1 \ in < i • i ,< to as "Claimant", a

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jo Minor, (Claimant) vs. Lew Lieberbaum & Co., Inc., Kirk Graham, and Ed Becker, (Respondents) Case Number: 99-00046 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant Jo Minor, hereinafter referred to as "Claimant" appeared pro se. Respondent Kirk Graham ("Graham") appeared pro se. Respondent Ed Becker ("Becker") appeared pro se. Respondent Lew Lieberbaum & Co., In

N.A.S,D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-00044 Rita and Dilip Doshi, claimants vs. Investors Associates, Inc. and Miguel Ocasio, respondents. ATTORNEYS: V For Claimants Rita and Dilip Doshi ("Claimants"), Douglas E. Lally, Esq., a sole practitioner, Jenkintown, Pennsylvania, Respondent Investors Associates, Inc. ("Investors Associates"), did not respond to the Statement of Claim. Respondent Migue

r Oa/09/2004 11:15 FAX NASD 1002/008 Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Stephen H. Thomas, (Claimant) vs. Dain Rauscher Incorporated. (Respondent). Ca&e Number: Hearing Site: 99-00032 Houston, Texas REPRESENTATION OF PARTIES Claimant, Stephen H. Thomas ("Thomas"), hereinafter referred to as "Claimant": Barry Abrams, Esq.. Abrams Scott & Bickley, L.L.P., Houston, Texas. Respondent, Dain Rauscher Inco

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Nicholas A. Nayak Sep-IRA, Nicholas A. Nayak Custodian for David A. Nayak, Nicholas A. Nayak Custodian for Zachary S. Nayak, Nicholas A. Nayak, and Anjuli S. Nayak, MD, and Nayak Foundation Charitable Trust (Claimants) v. Fidelity Brokerage Services, Inc., n/k/a Fidelity Brokerage Services, LLC (Respondent) Case Number: 00-03252 Hearing Site: Chicago, Illinois REPRESENTATI