AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Nancy Smith Claimant, v. No. 95-04191 Smith Barney, Inc., and Erik Littlejohn Respondents. REPRESENTATION OF PARTIES Claimant Nancy Smith ("Claimant") was represented by Michael Farrell, Esq. of The Kullman Firm, located in Jackson, Mississippi. Respondents Smith Barney, Inc. ("Smith Barney") and Erik Littlejohn ("Littlejohn") (collectiv

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-01945 Guido Grassi, claimant vs. Preston Langley Asset Management, Inc. and Christian W. Blake, respondents. ATTORNEYS: For Claimant appeared Thoamas J. DelPup, Esq., Rochester, MI. Respondent Preston Langley Asset Management, Inc. did not appear. Respondent Christian W. Blake did not respond to the Statement of Claim. DATE FILED: April 17, 2001 CASE SUMMARY: Claimant alleged r

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Louis Green Claimant, v. No. 95-04190 Prudential Securities, Inc. Respondent. REPRESENTATION OF PARTIES Claimant Louis Green ("Claimant") was represented by James C. Steffi, Esq. of Lebow & Tobin located in Farmington Hills, Michigan. Respondent Prudential Securities, Inc. ("PSI") was represented by Patrick Gaffiiey, Esq. of Prudential S

CONSENT AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant OPPENHEIMER & CO., INC. 95-04186 Name of Respondent THOMAS ROHRER REPRESENTATION For Claimant: Oppenheimer & Co., Inc. was represented by Joseph F. Keenan, of Bochat & Keenan, P.C., located in Garden City, New York. For Respondent: Thomas Rohrer appeared pro se. CASE INFORMATION State of Claim filed: August 31,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 95-04183 Name of Respondent Execu-Tech Management Group Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 31, 1995, Claimant PaineWebber, Inc. ("Claimant"), through its representative and in-house counsel, Evan J. Charkes, Esq., alleged that Respondent Exec

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James J. Tiernan 95-04182 Name of Respondent Dean Witter Reynolds Inc. CASE SUMMARY In a claim: ftletfiv^im,-thejRational Association of Securities Dealers, Inc. on August 31, 1995Cbumant^>%ul-t Jamesl, Tiernan ("Claimant"),who appeared Pro Se, alleged that Respondent Dean Witter Rey^liiiJiScv^ui/^f'Tl ("Respondent") improperly

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Arman Ajamian 95-04-181 Name ot Respondent Mayer & Schweitzer, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August M, l99$Claimant Arman Ajamian ("Claimant"), who appeared Pro Se, alleged that Respondent Mayer and Sdiwcit^ft ("Respondent") overcharged him for the sale of his In

N.A.S.D. AWARD ,< NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stanley Kozlowski 95-04179 Name of Respondents Sutro & Co, Incorporated James V. Cuff, Jr. REPRESENTATION For Claimant appeared Robert A. Dean, Esq. of The Dean Law Firm located on Grand Island, New York. For Respondents appeared David W. Studley, Esq. located in San Francisco, California. CASE INFORMATION Th

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant M.S. Farrell&Co. ; Inc. 95-04177 Name of Respondent Edward Grey REPRESENTATION For Claimant, M.S. Farrell & Co., Inc. ("claimant"), appeared James L. Rothenberg, Esq., New York, New York. Respondent, Edward Grey, ("respondent") appeared pro se. CASE INFORMATION Statement of Claim filed: August 30, 1995. Amended Stat

rr N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Irwin K. Kline 95-04174 Name of Respondents Gilford Securities Inc. Martin J. Rabovich REPRESENTATION Claimant Irwin K. Kline ("Claimant") was represented by Jeffrey G. Pittell, Esq., New York, NY. Respondents Gilford Securities, Inc. ("Gilford") and Martin J. Rabovich ("Rabovich") were repres