N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS 94-01534 (consolidated with 94-02689) [n the Matter of the Arbitration Between Name of Claimant Prudential Securities Inc Name of Respondents Scott M. Zimmerman David B. Kusiel REPRESENTATION For Claimant Prudential Securities Inc: G. Wayne Hillis, Esq. of the law firm of Parker, Hudson, Rainer & Dobbs, Atlanta, GA. For Respondents Scott M. Zimmerman and David B. Kusiel: John E. N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edwin P. Wilson 94-01507 Name of Respondents Oppenheimer & Co., Inc. Jason Cinder CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 22, 1994, Claimant, Edwin P. Wilson, who appeared Pro Se, alleged that Respondent, Jason Ginder of the firm Oppenheimer & Co. Inc., solicited .bun

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cla David Jon Korotkin 94-01505 Name of Respondents L.C, Wegard & Co. Joseph Orlando Neil White CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 22, 1994, Claimant David Jon Korotkin, who appeared Pro Se, alleged that Respondent Joseph Orlando of L.C. Wegard & Co. recommended he pu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name o_f_Gairnant(s) Walter E. Dyck 94-01503 Name of Respondent(s) Barrett Day Securities, Inc. (Bankrupt) David Feyjin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 21, 1994 Claimant Walter E. Dyck ("Claimant"), who appeared Pro Se, alleged that Respondent David Feyjin ("Respondent") charg

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-03034 Investec Ernest & Company, Inc., Claimant vs. Ricardo Broome, Respondent. ATTORNEYS: For Claimant, Investec Ernest & Company, Inc., appeared Michael S. Colombo of Streetwide Asset Recovery Group, Inc. New York, NY. Respondent, Ricardo A. Broome, appeared Pro Se, New York, NY. DATE FILED: June 8, 2001 CASE SUMMARY: Claimant alleged Respondent failed to pay back training and re

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Securities America, Incorporated and NASD Case Number 94-01474 REPRESENTATION OF PARTIES Claimant, Securities America, Inc. was represented by Kelly R. Dahl, Esq. of Baird, Holm, McEncii-jit ;'eaen.;en. Hamarin & Srra.iri,i:;< .«• :;\:cd in Omaha, N-.-;br< •,.;•; • Respondent, Nick Kmezich was represented by James R. Place, Esq. of The Place Law Offices

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ronald Tigner 94-01450 Name of Respondent Smith Barney Shearson, Inc. REPRESENTATION Claimant Ronald Tigner ("Claimant") Top^arecl pro ss Respondent Smith Barney Shearson, Inc. ("Respondent") was represented by Scott Almas, Legal Assistant, Smith Barney Shearson, Inc., New York, NY CASE INFORMATION Claimant's Statem

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Duke & Company, Inc. 94-01440 Namg of J^ Lawrence Rosenberg REPRESENTATION For claimant Duke & Company ("claimant") appeared Charles J. Hecht, Esq., of the offices of Hecht & Goidston located in New York, New York. Respondent Lawrence Rosenberg ("respondent") did not enter an appearance in this matter. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Dickinson & Co. 94-01433 Name of Respondents Brett W. Cooper CASE SUMMARY la a claim filed with the National Association of Securities Dealers, lac. on April 14, 1994, Claimant Dickinson & Co., through its counsel Terri L. Combs, Esq., of Baer Marks & Upham, New York, New York, alleged that Respondent Brett W. Cooper began

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between * Name of Claimant V. Lawrence Piton and 94-01407 Name of Respondent Dean Witter Reynolds, Inc. REPRESENTATION OF PARTIES V. Lawrence Piton ("Claimant") was represented by Leslie Blau, Esq., Blau & Kokoszka, Chicago, Illinois. Dean Witter Reynolds, Inc. ("Respondent Dean Witter") was represented by Micadic Bryan Oroschakoff, Esq., Dea