N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Milton Lee Dobison 9503770 Name of Resnondents Barren Chase Securities, inc. David Kleber Rodney Declay Sailor \\\ ;••_;..-.:_ ~:,;;r,~~ Joseph D. Cornwell CASE SUMMARY In a case filed with the National Association of Securities Dealers, Inc. on August 4, 1995, claimant Milton Lee Dobison, who appeared Pro Se, alleged t

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Margaret Reid, L.L.C., Audrey Reid, Kevin D. Reid, Scott E. Reid, Norman Reid and Cynthia L. Reid and 01-01929 Phoenix, Arizona Name of Respondent Dain Rauscher Incorporated n/k/a RBC Dain Rauscher, Inc. REPRESENTATION OF PARTIES Margaret Reid, L.L.C., Audrey Reid, Kevin D. Reid, Scott E. Reid, ("Claimants") were represented by Robert D. Mi

AWARD NASD REGULATION. INC., OFFICE OF IMS PITH RESOLUTION Percv Garcia Name of Respondent Brokers Investment Corporation and Bany Ray REPRESENTATION For Claimant: For Respondent: No Appearance CASE INFORMATION August 1. Claimants Submission Agreement MgneJ: June 8, 1 HEARING INFORMATION Lt>s Angeles. California C ASF SUMMARY Claimant alleged thai Respondents made misrepresentation*;, omissions and acted irauduiemly in connec

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^) Joseph and Florence Kassar 95-03767 Name of Respondent^ Reich < & Co., Inc. Reuben L. Sushman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 3, 1995, Claimants Joseph and Florence Kassar, who appeared Pro Se, alleged that Respondent Reich & Co., Inc., through its registere

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between or'. Claimants Peter S. and Margaret E. Copplestone Q5-03766 f Respondent L.C. Wegard & Co. Inc. CASE SUMIVtARY In a claim filed with the National Association of Securities Dealers, Inc. on August 3, 1994, Claimants Peter S, and Margaret E. Copplestone ("Claimants"), who appeared Pro Se, alleged that Respondent L.C. Wegard & Co, Inc. ("LCWCI"),

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Jon B. Klima v. Arbitration No. 95-03765 Name of Respondent Kevin McCarthy, Craig Cunningham. Keith Hale, Paul Courtright, Brian Moore and Atlanta-One, Inc. CASE INFORMATION Statement of Claim received: August 2, 1995 Claimant's Submission Agreement signed: July 28, 1995 Stipulation for Entry of Judgment filed: Nove

NASD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS !n the Matter of the Arbitration Between Name of Claimants Allan and Gloria Silverstein 95-03762 Name of Respondents Gruntal & Co., inc. Daniel C. BaJestra CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 3, 1995, Claimants Allan and Gloria Silverstein ("Claimants"), who appeared Pro Se, alleged that Respondent GruntaJ & Co.„ Inc., thr

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Name of Claimant Victor Dobrin and NASD Case Number: 95-03760 Olde Discount Corporation Mark S Katzman Russell G. Miller Steven R. Ross REPRESENTATION OF PARTIES Claimant Victor Dobrin ("Claimant") was represented by Laurence S. Schultz, Esq. of Driggers, Schultz, Herbst & Paterson located in Troy, Michigan. Respondents Olde Discount C

N.A.S-D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between © National Association of Securities Dealer::, inc. Name of Claimant Michael D. Roscnheck All Rights Reserved NASD Arbitration No.9503748 Name of Respondents Paine Webber Incorporated. Barry Harberson, Bonnie Freer and Mark Taylor, REPRESENTATION For Claimant: Claimant appeared in pro per. For Respondents: David G. Freedman, Esq., Jac

NASD Regulation, Inc. AWARD NASD REGULATION, INC. [n the Matter of the Arbitration Between Name .of Claimants Raymond C. Lemire & Management Realty Co NASD Case No. 95-03747 Name of Respinidents Stratton Oakmom, inc. Daniel Porush Paul F. Byrne Patrick McDonnell RCTRESENTATIQN For Claimants Raymond Lemire ("Lemire") and Management Realty Corporation ("Management") appeared Bret D. Clifford, Esq. of Devine, Millime and Branch, Man