N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between « Name of Claimant Robin Viverito 95-03020 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Brandon Bond CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 20, 1995, Claimant Robin Viverito, who appeared Pro Se, alleged that Respondents Merrill Lynch, Pierce, Fenner & Smith, In

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Birger C. Nyborg; Birger Nyborg & Co., Ltd.; AccountAbility Computer Corp.; Integrated Resource Development, Inc. Claimants, and No. 95-02276 Paine Webber Incorporated; Donald Crutchfield, Respondents, REPRESENTATION OF PARTIES For Claimants: Birger C. Nyborg ("Nyborg"), Birger Nyborg & Co., Ltd. ("Nyborg & Co."), AccountAbility Comp

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Herbert and Shirley Raynor Case No. 99-02864 Names of Respondents CIBC World Markets Cotp. Robert Herd Abbott L. Glasser Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Herbert and Shirley Raynor, hereinafter collectively referred to as "Claimants": Robert L. Claire, Esq. of Selman & Claire, Boca Raton, Florida. For CIB

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dan Kozan Production Retirement Trust 95-02114 Name of Respondent Smith Barney, Inc. REPRESENTATION For Claimant, Dan Kozan Production Retirement Trust, appeared John Kolenda, Esq. a sole practitioner located in New York, New York. For Respondent, Smith Barney Shearson, Inc., appeared Linda R. Alpert, Esq. in house counsel

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Walter John and Mathilde Berg 95-02110 Name of Respondents Reid T. Diorio CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 1, 1995, Claimants Walter John and Mathilde Berg, who appeared Pro Se, alleged that Respondent Reid T. Diorio, sold them an unsuitable investment which resulte

N.A.S.D. MODIFIED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Henry Balboni 95-01547 Name of Respondents Frank Pizzolato Millard G. Thomas CASE SUMMARY » In a claim filed with the National Association of Securities Dealers, Inc. on March 27, 1995, Claimant Henry Balboni ("Claimant"), who appeared Pro Se, alleged that Respondent Frank Pizzolato ("Pizzolato") recommended, and C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASK #92-01738 AWARD In the Matter of the Arbitration Between Harold L. Broman Claimant vs. Shearson Lehman Hutton Evan Bines Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 26, 1992, Claimant Harold L. Broman by and through his counsel Phillip M. Marshall, Esq. of Kinney Buch Mattrey & Marshall, Buffalo, NY, alleged that i

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John T. Shea Claimant vs. Advest, Inc. Respondent CASE #92-01725 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 22, 1992, Claimant John T. Shea, who appeared Pro Se, alleged that in February 1988 he discussed with Respondent Advest, Inc. by and through their broker, Ann Marie Brancato, the

PUBUC N.A.S.D. JWNRD AssocancH OF aacumrnES DEALHIS, INC. la the Matter of the Axtod Natala diaries Nannette Bryn illi, 91-01186 VUlliamA. EayM A>Mt Bfenageaoit, Inc. For dainanta: Bazold R. Buzka, E*q. of tb« !•» ^^^ of Dual For RMpondentr: Arthur C. Schupbach, Eaq. of the law fixm of WLlllan 6 of ^»< " filed on: April 15, 1391. dadnent f^»^mm Oonterelli, Truatee signed SulniMiaa Arjri"ini»nt ODS Jtpril U, 1991. B

j> N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS S«eurtt*iO«aifn,t NASD Financial Can 33 Whit«h«M StrMt York. N«N Yor* In the Matter of the Arbitration Between Joseph M. and Mary Jane Aiello 91-01015 Mam* of Thomas James Associates, Inc. For Claimants: Iterance A. J. Mannion, Esq., Sole Practitioner. For Respondent: Susan A. Roberts, Esq. of Barter, Secrest, & awry. Claimants filed a Statement of Claim on March 26, 19