Award NASD Dispute Resolution In the Matter of the Arbitration Between: riaJTTnaTjt Pagp'M^ T r>hf|" 01-01855 Alan L. Robin Cheryl A. Phipps Deutsche Bane Alex Brown, Inc. Hearing Sit?' Baltimore, MD PARTTFS Claimant, Alan L. Robin ("Robin"), hereinafter referred to as "Claimant": Alfred L. Scanlan, Jr., Esq., Eccleston and Wolf, Baltimore, Maryland. Respondents, Cheryl A. Phipps ("Phipps") and Deutsche Bane Alex Brown, Inc. ("DB Ale

Stipulated Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: Buford Campbell 00-00771 Names of the Respondents Hearing Site: BT Alex Brown, Inc. n/k/a DB Alex. Brown LLC, Tampa, FL Evan Novak, and Everen Securities, Inc. n/k/a First Union Securities, Inc. REPRESENTATION OF PARTIES For Buford Campbell, hereinafter referred to as "Claimant": Michael S. Taaffe, Esq., Abel, Band, Russell, Collier, Pitchford & Gor

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE *91-01535 AWARD In the Matter of the Arbitration Between John S. and Mildred C. Wall Claimants vs. Prudential Securities, Inc. Respondent CASE SUMMARY Pro Se Claimants John S. and Mildred C. Wall, in a claim filed with the National Association of Securities Dealers, Inc. on May 20, 1991, alleged that Respondent' s former registered representative and their broker, Ed Rutherford, i

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SiJLTJKl'i' I m DEMURS la the Matter of the Arbitration Between Q£ Anne Sill Joan Fox Barbara Kaluzoy 91-01533 Nane of Fiscl Securities, Inc. Jacob Feldman Jason MacKenzie Securities , Inc. For daimants: Anne Sill, Joan Fox »™* Barbara Kaluzny were represented by Gary Saretsky, Esq. and T.iga M. Salvia, Esq. of Hertz p Schram & Saretsky, P.C., Bloomfield Hills, Michigan. For Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter o£ the Arbitration Between Mary Fernandez vs. NASD #91-01531 Q£ J.W, Gant & Association, Inc. Oppeoheimer & Ccnrjany, Inc. Allied Capital Grmjp, inc. Jan Marie Kennedy- Peter F. Mercaldi John E. Bradley Carl A. MUitello FOOT Claimant: William B, Fedennan, Esq., of Day, Eewett & Fedenoan, Oklahoma City, Oklahoma. For Respondent: (J.W. Gant) David Zizzer, E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John Aubry and Irene Aubry, JTWROS No. 91-01529 Name of Respondents Shearson Lehman Hutton, Inc. Wilson Rodini REPRESENTATION OF PARTIES For Claimants: Bruce M. Jancovic of Jancovic & Punticelli. For Respondents: Robert J. Kuker of Neal Gerber & Eisenberg. CASE INFORMATION Statement of Claim filed: May 16, 1991. Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) William Shockey, Jo Ann C. Shockey McBrady No. 91-01528 Name of Respondent(g) Prudential-Bache Securities. Inc. Thomas E. Turnbaugh REPRESENTATION OF PARTIES For Claimants: John Lieberman, Esq., Chicago, Illinois. For Respondents: Christopher Triapani, Esq. Assistant Vice President, Assistant General Counsel Prudential S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS [n the Matter of the Arbitration Between Name of Claimant* s) Frederick Brignull 91-01526 Name of Respondent s) Shearson Lehman Brothers. Inc. Carey Brandfield REPRESENTATION For Claimant, Frederick Brignull ("Claimant"). James B. Turtle. Esq., from the law firm of Breyer Boyajtan & Turtle. For Respondents. Shearson Lehman Hutton ("SLH") and Carey Brandfield ("Brandfield"), Keith

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert & Francine Bernstein Philip Schneider Claimants WITH vs. CASE 391-01525 Century Financial Securities, Inc. Respondent CASE #91-01374 AWARD CONSOLIDATED CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 1, 1991, Claimants, Robert & Francine Bernstein, through their counsel, Jeffrey A

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between Wolfgang Schivelbush Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent CASE #91-01519 AWARD CASE SUMMARY Wolfgang Schivelbush r Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on May 16, 1991, alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. failed to correct fraudul