N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Christopher M. Early vs. 94-00802 Name of Respondents Rothschild Global Investments, Inc. Daniel Brucato Jim Leavy CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 1, 1994, Claimant Christopher M. Early, who appeared Pro Se, alleged that Respondents Daniel Brucato ("Brucat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Peter Baker 94-00801 Name of Respondents A.S. Goldman & Co. Ian Hosing CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 2,1994, Claimant Peter Baker, through his representative Brian K. Lowe, alleged that he told Respondent Ian Hosang ("Hosang"), a broker at Respondent A.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mark Haber 94-00800 Name of Respondents Prudential Securities, Inc. John R. Anastasia CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 1, 1994, Claimant Mark Haber, who appeared Pro Se, alleged that Respondents Prudential Securities, Inc. and John R. Anastasia gave him mislead

N.A.S.D. AWARD •• NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Murray Greenberg 94-00799 Name of Respondent(s) First Interregional Equity Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 2, 1994, Claimant Murray Greenberg, who appeared Pro Se, alleged that Respondent First Interregional Equity Corp. failed to inform him o

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Steven Lloyd Higgins and Susan Nelson Higgins, Trustees of the Higgins Family Trust, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent Case Number: 01-02955 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Jeffrey M. Byer, Esq. Sandier, Lasry, Laube, Byer & Valdez, LLP San Diego, California For Respondent: Michael M. G

N.A.S.D. AWARD f NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Comprehensive Capital Corporation 94-00798 Name of Respondents') Louis Charles Miceli, Jr. REPRESENTATION For Claimant Comprehensive Capital Corporation: Steven V. Kevorkian, Chief Financial Officer, Comprehensive Capital Corporation. The Respondent appeared pro se. CASE INFORMATION Statement of Claim filed: Februar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Harold I. Rosen 94-00792 Name of Respondents F.N. Wolf & Co., Inc. James Scullen REPRESENTATION Claimant Harold I. Rosen ("Rosen") appeared at the hearing pro se. Claimant Rosen is an attorney with the firm of Seltzer and Rosen, P.C., of Washington, D.C. Respondent F. N. Wolf & Co., Inc. ("F. N. Wolf) did not appear at the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Name of Claimant David A. Schroeder 94-00791 Craig Hallutn, Inc. Jerry Wrestling REPRESENTATION The Claimant, David A. Schroeder, ("Schroeder"), was represented by Rebecca Bender of Rebecca Bender and Associates located in Minneapolis, Minnesota. The Respondents, Craig-Hallum, Inc. {"Craig-Hallum") and Jerry Westling ("Westling") were repre

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between t, Name of Claimant Thomas James Associates, Inc. & Mark E. Motazedi and 94-00790 Name of Respondent Jacob and Marina Mazin REPRESENTATION OF PARTIES Thomas James Associates, Inc. & Mark E. Motazedi ("Claimants") were represented by D. Elizabeth Wills, Esq., Brenman Key & Bromberg, P.C., Denver, CO. Jacob and Marina Mazin ("Respondents")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the jnatter of the Arbitration Between of Claimant g) Emil Durelle NASD Arbitration No. 94-00787 Name of Respondent(s) Yaeger Securities, Inc. Union Equity Partners, Inc. REPRESENTATION For Claimant: Emil Durelle, Henderson, Nevada For Respondent Yaeger Securities, Inc. : David N. Mahler, Yaeger Securities, Inc., Woodland Hills, California For Respondent Union Equ