NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-03001 Carine V. Alma, claimant vs. Raymond L. Dirks, respondent. ATTORNEYS: Claimant appeared pro se, Garden City, NY. For Respondent appeared A. Joseph Tandet, Esq., New York, NY. DATE FILED: June 6, 2001 CASE SUMMARY: Claimant alleged that respondent failed to pay the remaining balance due under their employment agreement. Claimant maintained that due to respondent's actions, she

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofCIaiinant Bernie Simon Award No. vs. 94-01185 Name of Respondents ' Bear Stearns & Company Stratton Oakmont, Inc. Daniel M. Pomsh REPRESENTATION For Claimant, Bernie Simon ("Claimant"), Ralph A. Cant, Esq., located in New York, New York. For Respondents, Bear Stearns & Company, Stratton Oakmont, Inc. and Daniel M. Pomsh ("Resp

NASD REGULATION 8002 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTTIFS DEALERS John Philip Langley, Claimant, v. No. 94-01181 B.C. Christopher, Division of Fahnestock & Co., Inc., and Fahnestock A Co., Inc., Respondents. v REPRESENTATION OF PARTIES Claimant John Philip Langley ("Claimant") was represented by Jeff Zimmerman, Esq., and James M. Holmbcrg»Esq., Shawuee, Kansas. Respondents B.C. Christopher, Division of Fahnestock & C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS * In the Matter of Arbitration Between Byron Olson vs. 94*01169 Chase Securities. Inc. For Claimant, David I. Faust, Esq. of Faust, Rabbach, Stanger & Oppenheim, New York, NY For Respondent, Edward A. Brill, Esq. of Proskauer, Rose, Geotz & Mendelsohn, New York, NY CASE INFORMATION Statement of Claim filed: March 28, 1994 Claimant's Answer to Respondent's Counterclaim filed: Septe

N.A.S.D. AWARD •. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Roy M. Berry 94-01168 Name of Respondent(s) D.H. Blair & Company CASE SUMMARY In a claim filed with National Association of Securities Dealers, Inc. on March 29, 1994 Claimant Roy Berry, who appeared Pro Se, alleged that Respondent D.H. Blair and Co., Inc., through Richard Molinsky, misrepresented the security Euro-Dis

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Charaniit and Mary Jane Rai and Fidelity Brokerage Services. Incorporated and Edward Johnson. M and Neil Rhein NASD Case Number 94-01167 REPRESENTATION OF PARTIES Claimants, Charanjit and Mary Jane Rai were Pro Se and were represented at the hearing by Charanjit Rai only. Respondents, Fidelity Brokerage Services, Inc., Edward Johnson, in and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Warren and Johanne Rednor 94-01165 Name of Respondent Dean Witter Reynolds, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 29, 1994, Claimants Warren and Johanne Rednor, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. misrepresented the date on whic

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edward & Helene Vorndran 94-01164 Name of Respondent M. Rimson & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 29, 1994, Claimants Edward and Helene Vorndran, who appeared Pro Se, alleged that Respondent M. Rimson & Co., Inc. failed to inform them of an execution

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between < k Name of Claimant Martiel C. Ross 94-01161 NajneofResDondente Olde Discount Corporation Murray Carter CASE SUMMARY In a claim filed with the Matronal Association of Securities Dealers, Inc. on March 28, 1994, Claimant Martiel C. Ross, who appeared Pro Se, alleged that Respondent Olde Discount Corporation ("Olde"), through its agent, M

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sam Tang 94-01159 Name of Respondent Waterhouse Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 28, 1994, Claimant Sam Tang, who appeared Pro Se, alleged that Respondent Waterhouse Securities, Inc., through its representatives, executed a duplicate sell trade of