N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph M. Marinelli 96-01842 Name of Respondent Pentad Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 7, 1996, claimant Joseph M. Marinelli ("claimant"), who appeared Pro Se, alleged the respondent Pentad Securities, Inc. ("respondent") failed to repay a loan he m

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mary Ellen Bums Family Trust 96-01840 Name of Respondent Merrill, Lynch, Pierce, Fenner & Smith, Inc. Charles C. Manner Tosh Mclntosh CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on April 26, 1996, the Mary Ellen Burns Family Trust ("Claimant"), through its trustee Mary El

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Jeffrey Cohen 96-01839 Name of Respondents Dean Witter Reynolds Inc. Darlene J. Palmer REPRESENTATION Claimant Jeffrey Cohen ("claimant") appeared pro se. For respondents Dean Witter Reynolds, Inc. ("Dean Witter") and Darlene J. Palmer ("Palmer") appeared Annemarie P. McAvoy, Esq., Vice President and Senior Attorney for Dean Witter Reynolds, Inc. located in N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert M. Brent 96-01838 Name of Respondents Monica Plocki Capital Securities of America, Inc. * CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 29, 1996, Claimant Robert M. Brent ("Claimant 11 ), who appeared Pro Se, alleged that Respondents Monica Plocki ("Plock

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Hans H. Ammann 96-01837 Name of Respondents M. Rimson & Co. Inc. Emmett A. Larkin Company, Inc. Ed Veisman Moshe Rimson Alex D. Shmdman For Claimant Hans H, Ammann ("Claimant") appeared Jordon W. Siev, Esq., of Anderson, Kill, Olick, & Oshinsky, P,C. located in New York. Respondent M. Rimson & Co., Inc. ("Rimson & Co

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants Robert A. Goldman Barbara Goldman 96-01836 Name of Respondent Equitable Life Assurance Society of U.S. REPRESENTATION For Claimants Robert A. Goldman ("Goldman") and Barbara Goldman (collectively referred to as "Claimants") appeared Neal Brickman, Esq., a private practitioner with offices located in New York, New York. For Respondent Equitable Life As

NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Surinder and Parvinder Chabra 96-01833 Name of Respondents Amarjit Singh Birchtree Financial Services, Inc. A. Randal Burch Rauscher Pierce Refsnes, Inc. Regional Operations Group, Inc. REPRESENTATION For Claimant Surinder and Parvinder Chabra ("Claimants"): G. Alexander Novak, Esq. of the law firm of Novak & Juhase, Woodmere, NY. Respondent Amarjit

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael T. Dowling 96-01832 Name of Respondents Thomas Decegiie Shannon Johnson Kevin Williams Michael Haefling Joe Huff Marco Fiore Thomas DeSimone Nationwide Securities Corp. REPRESENTATION Claimant Michael T. Dowling ("Claimant") appeared pro se. Respondent Thomas DeCeglie ("DeCeglie") appeared pro se

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Isminy Cagos Family Living Trust Isminy Cagos 96-01829 Names of Respondents NAP Financial Corporation Aragon Financial Services Inc. Signal Securities Inc. Thomas Cannon Sunpoint Securities Inc. William M. Perry Van Roberson Lewis, III REPRESENTATION For Claimants: Jeffrey P. Coleman, Esq., Clearwater, Flo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joshua Stephens v. Balis, Lewittes & Coleman, Inc., Charles Balis, Mathew Coleman, Sr. and Mathew Coleman, Jr. Case Number: 01-02051 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: For Respondents: Balis, Lewittes & Coleman, Inc. Charles Balis Mathew Coleman, Sr. Mathew Coleman, Jr. Elizabeth Lowery Fields, Fehn & Sherwin