Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Augustine Fund, L.P, (Claimant) vs. Joseph Charles & Associates, Inc. and Laurence Alpert (Respondents) Case Number: 98-03863 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Augustine Fund, L.P. ("Augustine Fund"): Thomas P. Krebs, Esq., Foley& Lardner, Chicago, Illinois Respondent Joseph Charles & Associates, Inc. ("Joseph Charles"): Laura Arnoff, Esq., Leg

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03243 Tony Albano, claimant vs. Seibt Financial Services, Hans P. Seibt and Vernon E. Barnum, respondents. ATTORNEYS: Claimant appeared Pro Se, Las Vegas, NY. Respondents appeared through Hans P. Seibt, President, Las Vegas, NV. DATE FILED: July 31, 2000. CASE SUMMARY: Claimant alleged that respondents improperly executed the sale of a certificate without verifying its worth, c

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dean Witter Reynolds, Inc., Claimant v. Debra Stowers, Respondent and related Counter-Claim Debra Stowers, Third-Party Claimant v. Thomas G. Taliaferro, Third-Party Respondent Case Number: 98-03862 Hearing Site: Los Angeles, California REPRESENT ATIONOF PARTIES For Claimant Dean Witter Reynolds, Inc. and Third-Party Respondent Thomas G, Taliaferro: ForRespondent/Counter-Cl

N A S.D. REGULATION AWARD SOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: #98-359 Paul G. Bouhez, claimant vs. respondents. Meyers Pollock Robbins, Inc. and Seth Avery Cohen, ATTORNED Claimant, M G, Bouchez, appeared Pro Se., Palos Heights, IL. Respondei Meyers Pollock Robbins, Inc., did not enter an appearance in this matter. For Resident, Seth Avery Cohen, appeared Michael G. Shannon, Esq. of the firm Wallace, ' Fodian & Shannon, P. A.,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 98-03858 Helen Ching Chiu Lee, claimant vs. Wise Choice Discount Brokerage, Inc., and Ralph Anteby respondents. ATTORNEYS: For Claimant Helen Ching Chiu Lee, appeared Raymond H. Wong, P.C., New York, New York. Respondent Wise Choice Discount Brokerage, Inc., did not respond to the Statement of Claim. Respondent Ralph Anteby did not respond to the Statement of

AWARD NASD Regulation, Inc. NASD CASE NO.: 98-03852 Charles Schwab & Co,, Inc., Claimant vs. David S. Batchelder, Respondent REPRESENTATION: For Claimant: Diane C. Fischer, Esq. and Linda A. Gallagher, Esq. of Gomberg Kane & Fischer, Ltd., Chicago, Illinois, For Respondent: Mark P. Dugan, Esq. of O'Connor, Morss & O'Connor, P.C., Elizabeth, New Jersey. DATE FILED: October 16, 1998 CASE SUMMARY: Claimant ("Schwab") alleged the following: On o

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Richard Titlebaum and Joanne Lippert vs. Case No. 98-03845 Name of Respondent Janney Montgomery Scott Inc. REPRESENTATION OF PARTIES Claimants, Richard Titlebaum (Titlebaum") and Joanne Lippert ("Lippert"), hereinafter collectively referred to as "Claimants": Morgan W. Bentley, Esq., Newark, New Jersey Respondent, Janney Montgomery Scott Inc., hereinafter

STIPULATED AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants James H. Sandlin and James L. Sandlin and 98-03843 Indianapolis, Indiana Name of Respondents Olde Discount Corporation Michael Van Asten REPRESENTATION OF PARTIES James H. Sandlin and James L. Sandlin ("Claimants") were represented by Jeffrey V. Gery, Esq., Maddox, Koeller, Hargett & Caruso, Indianapolis, Indiana. Olde Discount Corporati

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. § § BEAR, STEARNS & CO. INC., § § Claimant § vs. § NO. 98-03842 § AMARILLO ENERGY COMPANY § AND WILLIAM SPILLMAN § § Respondents. § § STIPULATED AWARD Claimant, Bear, Steams & Co. Inc., were represented by Cheryl Jerome Moore and David R. Clouston of Arter & Hadden, LLP, located in Dallas, Texas. Respondents, William Spillman and Amarillo Energy, were represented by William

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Ivar M. Vedsted, Zonie C, Vedsted, and the Vedsted Family Trust, Claimants v. Titan Value Equities Group, Inc. and Raymond William DeMott, Respondents Case Number: 98-03841 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants Ivar M. Vedsted, Zonie C. Vedsted, and the Vedsted Family Trust: For Respondents Titan Value Equities Group, Inc. and Raymon