NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Amy Shui 96-01019 Name of Respondents Advest, Inc. Allan Fink Patrick Thorogood REPRESENTATION For Claimant Amy Shui ("Claimant") appeared Ruthann Niosi, Esq., a sole practitioner with law offices located in New York, New York. For Respondents Advest, Inc. ("Advest"), Allan Fink ("Fink"), and Patrick Thorogood ("Thorogood"), collectively "Respon

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between of Henry J. Harfosh 96-01016 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc James D'Amico For Claimant Henry Harfosh ("Claimant") appeared Sidney L. Manes, Esq., of the law firm Green & Seifter in Syracuse, New York. For Merrill Lynch, Pierce, Fenner & Smith Inc. ("Merrill Lynch") and James D'Amico, ("D'Amico 11 ) (collectively

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Stephanie J. Belczyk 96-01015 Name of Respondents GNA Securities, Inc. PNC Brokerage Corp. REPRESENTATION Claimant Stephanie J. Belczyk ("Claimant") was represented by Gary A. Bryde, Esq., Hockessin, DE. Respondents GNA Securities, Inc. ("GNA 11 ) and PNC Brokerage Corp ("PNC 11 ) wer

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Anthony J. DiFulvio, (Claimant) vs. Jason Alan Birnbaum, Michael Pegalis and Wexford Clearing Services Case Number: 01-01165 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, Anthony DiFulvio, hereinafter referred to as "Claimant": Charles J. Engel, Jr., Esq., Engel & Engel, Syracuse, NY. Respondent, Jason Alan Birnbaum, hereinafter referred to as "Respon

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Charles A. Thurman and 96-01009 Name of Respondents Robert I. Moses, Andrew Alessandrini, Paul P. Alessandrini, Sr., Paul P. Alessandrini, Jr., Paul Lansat, David Karetsky, Geraldine K. Karetsky, Renee M. Salzman, Martin C. O'Brien, Stephen-J. Geness, Chadbourn Bolles, Jr., Richard Engelhardt, Geo

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC, In the matter of the arbitration between LARRY CRAIG FLOWERS, Claimant and Counter-Respondent, and Case Number 96-01003 SMITH CULVER, INC. Respondent, and JEFFREY R. SENGER, T e Respondent and Counter-Claimant. REPRESENTATION OF PARTIES Claimant Larry Craig Flowers was represented by Stuart N. Wilson, Esq. and Elyssa Schnurr, Esq., with the law firm of Wilson & Flanz,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Claimant Everen Securities, Inc. f/k/a Kemper Securities, Inc., and 96-01002 Respondent Gregory P. Newton. REPRESENTATION OF PARTIES For Claimant: Claimant Everen Securities, Inc. ("Everen") was represented by A. Brad Busscher, Esq. of Everen Securities, Inc.,located in Chicago, Illinois. For Respondent: Respondent Gregory P. Newton ("Newton") w

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert & Carol Torns, as Trustees for the Torns Living Trust 96-00991 Name of Respondent National Discount Brokers CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 5, 1996, claimants Robert Torns and Carol Torns, as Trustees for the Torns Living Trust ("claimants"), who appear

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Advantage Home Inspection, Inc. 96-00989 Name of Respondents) Cartwright & Walker Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 5, 1996 Claimant Advantage Home Inspection, Inc., ("Claimant"), through Andrew Marino, P.E.,, alleged that Respondent Cartwright &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Evelyne M. Litz 96-00986 Name of Respondent National Financial Services Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealer, Inc. on March 4, 1996, Claimant Evelyne M. Litz ("Claimant"), who appeared Pro Se, alleged that Respondent National Financial Services Corporation ("Respondent") f