N.A.S.IX AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Peter P and Mary D. Lodiee 96-00723 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 20, 1996, Claimants Peter P. and Mary D. Eodice ("Claimants"), who appeared Pro Se, alleged that Respondent Prudential Securities, Inc. (''Respondent"!, through its agent, Mr. John McEvoy. provided Claimants with unsuitable investment advice when he aggressively

IASD RhGri.ATEON, INC, AWARD 96-00720 Olde Discount Corporation Mark Morrow REPRESENTATION For Clahnanis Joseph J. KoriY i "Joseph KortT' 1 ) and Susan K. Korff ("Susan Korff") (coliectiveiy referred to as "Claimants") appeared Ro^er W. Van Deusen, Esq., of the law firm Chattman, Gaines & Stern, located in Cleveland., Ohio For Respondents Olde Discount Corporation ("Olde") and Mark Morrow ("Morrow") (collectively referred to as "Respondents"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name pf Claimants) Charles F. Winter 96-00719 A.S. Goldmen & Company, Inc. REPRESENTATION For Claimant Charles F. Winter ("Winter")' Michael S. Winter, Esq. of the law office of Michael S. Winter, Milwaukee, WI. For Respondent A.S. Goldmen & Co., Inc. ("A.S. Goldmen"): Carole R. Bernstein, Esq. of the law office of Carole R, Bernstein, Esq., No

N.A S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Nader R. & Fatin Llhajj 96-00718 Name of Respondents Lew Lieberbaum &. Co.. Ine. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 16, 1996, Nader R. and Fatin Flhajj ("Claimants"), who appeared Pro Se, alleged that Respondent Lew Lieberbaum & Co., Inc. (''Lieberbaum'') gave th

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Myron J. Coplan, Claimant, v. No. 96-00717 A.G. Edwards £ Sons, Inc., and Robert M. Derks, Respondents. REPRESENTATION OF PARTIES Claimant Myron J. Coplan ("Claimant") was represented by Dale J. Coplan, Esq. of Burg £ Eldredge, P.C, located in Denver, Colorado. Respondents A.G. Edwards & Sons, Inc. ("AGE") and Robert M, Derks ("Derks") (coll

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Thomas J. and Harriet McKenzie 96-00716 Name of Respondents PNC Brokerage Corp. Jeffrey Gray REPRESENTATION Claimants Thomas J. and Harriet McKenzie ("Claimants") were represented by Robert A. Weinheimer, Esq., Pittsburgh, PA. Respondents PNC Brokerage Corp. ("PNC") and Jeffrey Gray ("Gray") were repr

\ A.bL 1 REGULATI ON Inc. Award 96-00715 Name cf Respondent j ION OF PARTIES by Martin H. Aussenberg, Esq., Law offices was *?,•(" finally represented by Darren Larnpert, Esq., of Y, y vk, On February 4, 1998 ? notice was received thai I Itil:^, Ksq., of Mure & Carone, P.C.. Brooklyn, New York, ^is represented m the pleading^ stage by Howard A. j V;Jmsky & Kain, Fort Lauderdale, Florida. Giovannini "w,-.s ridt represe

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Roth Capital Partners, LLC, Claimant v. William Trigger ffi, Respondent Case Number: 01-01149 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Dena L. Narbaitz, Esq. Steefel, Levitt & Weiss San Francisco, California For Respondent: H. Thomas Fehn, Esq. Fields, Fehn & Sherwin Los Angeles, California CASE INFORMATION Statement of

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Alan Leslie Basevitz, Claimant Vs. Commonwealth Investment Services, Inc., Respondent. Case Number: 00-00703 Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES Anita M. Britton, Esquire, of Stoll, Keenon & Park, Lexington, Kentucky, represented Claimant Alan Leslie Basevitz, ("Basevitz"). Kenton E. Knickmeyer, Esquire, of Thomson Coburn, St. Louis

N.A.S D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Mutter of the Arbitration Between Name of Claimant Randy L. Aulick 96-00714 Name of Respondent Buiiunwood Securities, inc. d/h/a Securities Planners. Inc. Sal Waishrut Edward McKay CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on February 16, 1906, claimant Randy L. Aulick ("claimant"), who appeared Pro Se, alleged that respondents