N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Myron J. Kafka NASD CASE NO. 96-01480 Name of Respondents Josephthal Lyon & Ross Incorporated, George W. Stinson, Jr. and Harrison Margolin REPRESENTATION For Claimant: David G. Hutchison, Esq., Key Largo, Florida. For Respondent Josephthal Lyon & Ross Incorporated ("JLR"): Brian J- Neville, Esq., Associate General Coun

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION in the Matter of the Arbitration Between Name MargoJ. Lakin; MargoJ. Lakin Investment Trust; Herbert S. Lakin, M.D.; and The Herbert S. Lakin, M.D. Trust 96-01478 Name pf Respondents Oak Ridge Investments, Inc.; Mathews Holmquist & Assocation, Inc.; Samuel Wegbreit; Leonardo E* Townsend; =.-•,„*-. rfl >•-=,;=; : - 1 David M. Klaskin ; ; -

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Fernando A. Magadan, Claimant, v. No. 96-01474 Charles Schwab & Co., Inc., Respondent. REPRESENTATION OF PARTIES Claimant Fernando A. Magadan represented himself. Respondent Charles Schwab & Co., Inc. was represented by Gregory M. Scanlon, Esquire, of Charles Schwab & Co., Inc., located in San Francisco, California. CASE INFORMATION Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert S. Peet 96-01463 Name of Respondents A.S. Goldmen & Company, Inc. Ozgur Yilmaz Paul Colontino CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 3, 1996, Claimant Robert S. Peet ("Claimant"), who appeared Pro Se, alleged that from April 1994, he began receiving cold c

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-02032 Charles Schwab & Co., claimant vs. Seth M. Shaw, respondent. ATTORNEYS: For Claimant appeared Brandon K. Hemley, in house counsel, San Francisco, CA. Respondent appeared pro se, Poughkeepsie, NY. DATE FILED: April 23, 2001 CASE SUMMARY: Claimant alleged that a check that was received from the respondent was returned for insufficient funds which caused them to debit his accoun

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In Che Matter of the Arbitration Between Name of Claimants) Anabella D. Rich and Barbara R. North 96-01462 Andrew Tzanides Roy Elterman Joseph ChiulH For Claimants Anabdla D. Rich ("Rich") and Barbara R. North ("North*) (collectively "Claimants") appeared Barbara R. North, pro se, For Respondent Andrew Tzanides ("Tzanides") appeared Leon B. Lipkin, Esq., of the law office of Leon B

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Wilbert Life Insurance Company and Grace Cemetery Association Perpetual Care Corp., Claimants, v. No. 96-01458 Trading Desk, Inc., Traders and Dealers, Inc., Jerry W Maiming, James H. Beckemcyer, and Trading Desk of Memphis, Inc., Respondents. REPRESENTATION OF PARTIES Claimants Wilbert Life Insurance Company and Grace Cemetery Associati

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Bruce W. Young and 96-01455 Name of Respondent Everen Securities, Inc., f/k/a Kemper Securities, Inc. REPRESENTATION OF PARTIES Bruce W. Young ("Claimant") was represented by Michael Salcido, Esq., Phoenix, Arizona. Everen Securities, Inc., f/k/a Kemper Securities, Inc. ("Respondent") was represented by Don Andrews, Esq., Ev

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Marc Weitzel, Josephine Weitzel and Wilbur Weitzel and Case Number 96-01454 Names of Respondents FirsTier Securities, Inc. n/k/a FBS Investment Services, Inc. and Jeffrey Einfalt Claimants Marc Weitzel, Josephine Weatzel and Wilbur Weitzel were represented by Terrance S. DeWald, Esquire of Koley, Jessen, Daubman &

NASDR AWARD NASD REGULATION. INC.. DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants George A. Hurley Lois M. Hurley NASDR Arbitration Sharon M. Hurley #96-01447 Sandra M. Hurley vs. Name of Respondent Wedbush Morgan Securities Inc. REPRESENTATION For Claimants: Patricia A. Shub, Esq., Fort Lauderdale, Florida For Respondent: Michael C. Licosati, Esq., Keesal, Young & Logan, Long Beach, California CASE