NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Paolo Mauro Traveni Claimant NASD Arbitration v. No. 95-04709 Discount Brokers J.B. Oxford & Company, Inc.' *' Nniionaj ^^, oti "CeurpMe '•» i " Respondents ~ s lA:a te. inc. REPRESENTATION OF PARTIES Paolo Mauro Traveni ("Claimant") represented himself, pro se. National Discount Brokers ("Respondent") was represent^d.by David

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Meir Padel 95-04704 Name of Respondent(s) Eric Ellenhorn CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 4, 1995 Claimant Meir Padel, through his counsel, Ron Z. Ofeck, Esq., New York, NY, alleged that Respondent Eric Ellenhorn of Westtleld Financial Corp. used persistent an

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Clainianfs Dennis J. Haglan and Patricia L. Palacio 95-04703 Name of Respondent Brown and Company Securities Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 4, 1995,\Claimants: Dennis James Haglan and Patricia Lewis Palacio ("Claimants"), alleged that Respondent Brown and Co

Award NASD Dispute Resolution in the Matter 01 tne Arbitration between; Name of the Claimant Case Number: 01-01984 Barry Papa Name of the Respondent Hearing Site: Boca Raton, Florida Prudential Securities, Inc. REPRESENTATION OF PARTIES For Barry Papa ("Papa"), hereinafter referred to as "Claimant": Neil S. Baritz, Esq., Dreier Baritz & Colman, Boca Raton, Florida. For Prudential Securities, Inc. ("PSI"), hereinafter referred to as "Respondent"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rose Anne Levinson & Harriett Leavitt Award No. vs. 95-04702 Name of Respondents Linsco/Private Ledger Corp. Mark S. Winthrop REPRESENTATION laiman^^Rosfc; AtajeLey^ assisted by Gerald t£viiis6n^4usha^ 'GtatmarftXevinson^ t3aMan| ; H!arfiett LeVinso^d^d ilot appear. (Collectively "Claimite^ -vig"1 FbrrRe$r)qnde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William C. Steigerwald 95-04691 Nayne of Respondents A.S. Goldmen & Co. Charles Trento CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 3, 1995,iClaimant • William C. Steigerwald ("Claimant") who appeared Pro Se, alleged that Respondent A.S.^Goldraen*&: ?; ,i Co. ("A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTTDES DEALERS In the Matter of the Arbitration Between Name of Claimant Raymond DeRobbio 95-04685 Name of ttesnondents Alden capital Markets, Inc. Robert limyer Alfred SaJazar REPRESENTATION For Claimant appeared Morgan Bentley, Esq. a sole practitioner of Newark, New Jersey. For Respondents Alden Capital Markets, Inc., Robert Thayer; and Alfred Salazar appeared Martin Berliner, Esq. of Ber

N.A.S.D. REGULATION AWARD , f . "ftvT/P/ % ^ NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant rona Association of Securities Paul M. Cryder 95-04683 NameofResuondents All Righte Reserved PaineWebber , Inc. Brian Miller REPRESENTATION Claimant Paul M. Cryder ("Cryder") was represented by Daniel R. Tobin, Esq.. Tobin & Tobin, Pittsburgh, PA. Respondents Bria

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Tyron W. Deygoo 95-04682 Name of Respondent Chatfieid Dean & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 3, 1995, Claimant Tyron W. Deygoo ("Claimant"), who appeared Pro Se, alleged that Respondent Chatfieid Dean & Co., Inc. ("Chatfieid Dean"), through its employe

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name £. Cad Anderson, Jr. a/k/a Carl Anderson 9544681 Names Jonathan Alan & Company, Inc. f/k/a First Associated Financial Group, Ltd. Thomas L. DfiPetriUo Mitchel Feinglas Timothy 1. Flanagan For Claimant E. Cad Andewon, Jr. a/k/a Carl Anderson ("Anderson"): Button W. Wiand, Esq. s, Villaieal and Banker* P.A., Tampa, Florida. Jonathan Alan & Co., Inc. f/k/a