NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) HAROLD HORNREICH, ) Claimant, ) ) Case 188-02264 vs. ) Award JOSEPHTHAL 4 CO., INC.. ) Respondent. ) Heard before the members of the Arbitration Panel: Anthony J. Titone, Esq. Judy Avey Douglas Delanoy, Jr. CASE SUMMARY This claim was filed with the NASD, Inc. on July 15, 1988. The hearing was conducted in Fort Lauderdale, Florida on May 2

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) CONNIE MARINCHEK. ) Claimant, } ) Case 188-02262 vs. ) Award ) KASHNER SECURITIES CORP., MARTIN R. KZNEALY ) and JOHN H. JETT, ) Respondents, ) ) Heard before the members of the Arbitration Panel: Mr. Roger C. Benson Marvin M. Morgenstern, Esq. Ms. Allison Hardage CASE SUMMARY This claim was filed with the NASD. Inc. on July

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Worldwide Corporate Managers, Inc. Claimant vs. AWARD #88-02261 Paul Olson Engler-Budd & Company, Inc. Oberweis Securities, Inc. Respondents Case Summary Claimant Worldwide Corporate Managers, Inc. ("Worldwide") initially filed on July 15, 1988 a Statement of Claim against Engler-Budd & Company, Inc. ("Engler-Budd"), its successor firm Oberweis Se

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Arbitration Matter Between DONALD J. AND MARY TARSNEY ) ) Claimants ) v. ) Case No. 88-02259 DEAN WITTER REYNOLDS, INC. ) ) Respondent ) CASE SUMMARY Claimants, Donald J. and Mary Tarnsey ("Tarsneys") alleged the following: 1. On or about February 19, 1981 Tarneys met with C. B. Brewster ("Brewster"), who was a registered representative of Dean Witter Reynolds, Inc. ("Dean W

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Ivor A. Emanuel, M.D., Phyllis Emanuel, John A. T. Ross, M.D., and John A. T. Ross, M.D., a Professional Corp. vs. Jack Clauson, Prudential-Bache Securities, Inc. and Sutro & Company, Inc. Claimants ) Respondents ) AWARD CASE NO- 88-02257 SUWARY OF ISSUES This case was filed on July 15, 1988. Claimants alleged lack of suitability,

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Hatter of the Arbitration Between First Potomac Securities Corp. vs. Claimant(s) 88-02253 Nana Ackah Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) First Potomac Securities Corp. alleged that Respondent (s) Nana Ackah owes outstanding debit balance in her margin account held with Claimant. Respondent(s) did not answer Claimant's allegations. RELIEF REQU

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-03983 Barbara Karp Edwin Rosenberger Thomas Johnson Names of the Respondents Hearing Site: Norfolk, Virginia Edward Jones & Co. L.P. d/b/a Edward Jones Thomas Frank Belvin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Barbara Karp, Edwin Rosenberger, and Thomas Johnson, hereinaft

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Song S. Choe vs. Case No. 99-04007 Name of Respondents Scottsdale Securities, Inc. Mark Finnegan Stuart Barth REPRESENTATION OF PARTIES Claimant, Song S. Choe, hereinafter referred to as "Claimant" appeared pro se. Respondents, Scottsdale Securities, Inc. ("Scottsdale"), Mark Finnegan ("Finnegan") and Stuart Barth ("Barth"), hereinafter coll

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC CASE; 00-00989 Wesley L. Nash, claimant vs. Andrew F. Dunlap, Bryan Mascoe and Crowell Weedon & Co., respondents. ATTORNEYS: Claimant appeared Pro Se,, Miami, FL. Respondents Andrew F. Dunlap, Bryan Mascoe and Crowell, Weedon & Co., appeared through James L. Cronk, Partner of Crowell, Weedon & Co., Los Angeles. CA. DATE FILED: March 6, 2000 CASE SUMMARY: Claimant alleged he sold 3347 sha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02039 Rafael Golan Name of the Respondent Hearing Site: Boca Raton, FL Sentra Securities Corporation, a/k/a AIG Financial Advisors, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Rafael Golan, hereinafter referred to as "Claimant": Bradford M. Gucciardo, Esq., Scarlett and Gucciardo, P.A., Boca