N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph Olivieri 94-01151 Name of Respondents Michael C. Cardascia Burnett Grey & Co., Inc. Emmet A. Larltin Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 28, 1994, Claimant Joseph Olivieri, who appeared Pro Se, alleged that Respondent Burnett Grey & Co., I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roman Novosiadlyi, (Claimant) vs. Glenn Michael Financial, Inc., (Respondent) Case Number: 01-03000 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Roman Novosiadlyi, hereinafter referred to as "Claimant", appeared pro se. Respondent, Glenn Michael Financial, Inc., hereinafter referred to as "Respondent": Francine A. Lanaia, Vice President, Glenn Michael Financi

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Philip J. Shurger, Sr. and 00-00932 Indianapolis, Indiana Name of Respondents Lloyd Wade Securities Inc. David Lloyd Rutkoske Michael Arthur Niebuhr Anthony A. Bisceglie Barron Chase Securities Ralph Ewing REPRESENTATION OF PARTIES Philip J. Shurger, Sr. ("Claimant") was represented by G. Martin Cole, Esq., Rothberg & Logan, Fort

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NaxneofClaimantCs) Triad Securities Corp. 94-01150 NameofResDondentfs} Joel Krinsky d/b/a J & J Group CASE In a claim filed with the National Association of Securities Dealers, Inc. on March 24, 1994, Claimant Triad Securities Corporation, through its counsel, Elizabeth Colontonio, Esq. of Gusrae, Kaplan &. Bruno, New York, NY, alleged that Res

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Helen Hann Claimant, v. No. 94-01145 Dreher & Associates, and Randy DePoister, Respondents. REPRESENTATION OF PARTIES? For Claimant: Helen Hann ("Hann") was represented by Aron D. Robinson, Esquire, of Holstein Mack & Klein, located in Chicago, Illinois. For Respondents: Dreher & Associates ("Dreher") was represented by Thomas P. Ward, Esqui

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Rodman & Renshaw, Inc., Claimant and Counter-Respondent, and No. 94-01143 Steven A. Rothstein, Respondent and Counter-Claimant. REPRESENTATION OF PARTIES For Claimant and Counter-Respondent: Rodman & Renshaw, Inc. ("Rodman") was represented by J. Patrick Herald, Esq. of Baker & McKenzie, located in Chicago, Illinois. For Respondent and Counter-Claim

NASD Arbitration No. 94-01136 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name o£ Claimant(sL Michael A. Adams Name of Respondent(s) Merrill Lynch, Pierce, Fenner & Smith Inc. REPRESENTATION For Claimant: Larry L. Caudle, Esq., Anchorage, Alaska For Respondent: Scott J. Nordstrand, Esq., Owens & Turner, P.C., Anchorage, Alaska CASE INFORMATION Statement of Claim filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Wendy H. Cohen 94-01135 Name of Respondent Fidelity Brokerage Services, Inc. For Claimant, Wendy H. Cohen ("Cohen"): Maxine Bradford, Esq. and Jack Stein, Esq., of Stein, Rosenberg & Winikoff, P.A., Fort Lauderdale, Florida. For Respondent, Fidelity Brokerage Services, Inc. ("Fidelity"): Anne Marie Dever, Esq., of Fidelity, Bos

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between •. Name of Claimant John C. Denny 94-01133 Name of Respondent Dwight Campbell Representation of Parties Claimant John Denny ("Denny") appeared at the hearing and was represented Pro Se. Respondent Dwight Campbell ("Campbell 1 ') of Noble Investment Co. of Palm Beach ("Noble Investment"), Boca Raton, FL, appeared at the hearing and C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James Botten 94-01131 Name of Respondents South Richmond Securities, Inc. and David L. Hagans Representation of Parties Claimant, James Botten, appeared at the hearing and was represented by Quentin R. Wittrock, Esq. of Gray Plant Mooty Mooty & Bennett, P.A., Minneapolis, Minnesota. Respondent, South Richmond Securities, Inc. did not appear at