NASD REGULATJON, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Adriane Kellerman, n/k/a Adriane Leavitt 96-05698 Name of Respondents Principal Financial Securities, Inc.; Jeffrey Lieungh REPRESENTATION For Claimant: Adriane Kellerman, n/k/a Adriane Leavitt ("Leavitt") was represented by Marshall J. Belgrad, Esq., located in Northbrook, Illinois. For Respondents: Pr

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. , " 3i - ARBITRATION DEPARTMENT ---___,,.,,_.. „ _ • _ » _ «. -„,..,— . Y PRUDENTIAL SECURITIES INCORPORATED and PAUL BRONZO, Claimants, NASD No. 96-5697 -against- DOUGLAS BRKICH Respondent. IT IS HEREBY STIPULATED AND AGREED between Claimants and Respondent as follows: 1. Douglas Brkich ("Brkich"), a financial adviser to the "Bronzo Group" in claimant Prudential Securities Incorporated

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-01407 Wayne G. Lyle, claimant vs. Jay W. Peterson, respondent. ATTORNEYS: Claimant appeared Pro Se, Littleton, CO. Respondent did not submit a response to the Statement of Claim. DATE FILED: March 20, 2001 CASE SUMMARY: Claimant alleged that Respondent promised to inform Claimant if Respondent took certain actions. Respondent took said actions, and did not inform Claimant, causi

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Jeff Rymer and Lisa Rymer, SJHR Investments, Stephen J. Roach III and Dorothy Roach, Claimants, v. No. 96-05689 Giovanni Volpe, and Dean Witter Reynolds, Inc., Respondents. REPRESENTATION OF PARTIES Claimants Jeff Rymer, Lisa Rymer, SJHR Investments, Stephen J. Roach III and Dorothy Roach, (collectively referred to as "Claimants") were represented by Anthony V. Trog

NASD REGULATION, INC. ^j C JQ\ AWARD In the Matter of the Arbitration Between Name of Claimants PaineWebber Incorporated vs Case No. 96 5676 Name of Resnondent Walter N. Iwachiw Kidder Peahody & Company, Incorporated Herzog. Heine, Geduld, Inc. John Carparelli Fred Warren Kevin Vesey Leonard Vinci - v -- REPRESENTATION For Claimant PaineWebber Incorporated ("Claimant") appeared Lisa Catalano Tillem, Esq.. Corp

.N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05675 PaineWebber, Inc., claimant v. James,E. Nellis, respondent. ATTORNEYS: For claimant appeared Stephanie Morse-Shamosh, Esq. - Weehawken, NJ. Respondent appeared pro se - Providence, RI. DATE FILED: 12/23/96 CASE SUMMARY: Claimant alleged respondent owes it a draw deficit. Claim Data Claim: $4,617.14 Interest: Yes Punitive: $.00 Atty F

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Bradford O. Martell, and Nadine Martell, Claimants, and No. 96-05671 Norfolk Securities, Inc., Rondo Hosang, Jeffrey Van Blarcom, and Ian Hosang, Respondents. REPRESENTATION OF PARTIES Claimants Bradford O. Martell and Nadine Martell ("Claimants") were represented by Joel H. Kaufman, Esq. of Farmington Hills, Michigan. Respondent

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Everen Securities* Inc., (Claimant) vs. Kevin C. O'Dowd and Jeffery G. O'Dowd, (Respondents) Case Number: 96-05669/05673 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Everen Securities, Inc., hereinafter referred to as "Claimant": Ronald P. Kane, Esq., Gomberg Kane & Fischer, Ltd., Chicago, IL. Respondents. Kevin C. O'Dowd and Jeffery G. O'Dowd, hereinafter collec

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Stephen A. Drake 96-05667 Names of Respondents Nationwide Securities Corporation David Lavender REPRESENTATION Claimant Stephen A. Drake appeared pro se. Respondent Nationwide Securities Corporation ("Nationwide") did not appear (see "Other Issues"). Respondent David Lavender ("Lavender") was represented by

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Larry G. and Lauren S. Deigh 96-05663 Name of Respondents Cressida Capital Corp. (aka Norfolk Securities) Rondo O. Hosang Ian Richard Hosang REPRESENTATION Claimants Larry G. and Lauren S. Deigh ("Claimants 1 ') were represented by Larry G. Deigh, who appeared pro se. Respondents Ron