N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of ClaimantCs) H.D. Brous&Co.,Inc. 95-04628 Name of Respondent^ FSG Securities Ira Bassin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 1> 1995, Claimant H.D. Brous & Co. Inc., through its President, Howard D. Brous, alleged that Respondents FSG Securities and Ira Bassin failed to rep

NASD AWARD •NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Lawrence S. Albarino 95-04623 Name of Respondents Scott M. Goodman Mark A. Corso REPRESENTATION Claimant Lawrence S. Albarino ("Claimant") represented himself. Respondent Scott M. Goodman ("Goodman") represented himself. Respondent Mark A. Corso ("Corso") was not represented at the hearing. CASE INFORMATION Sta

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Stephanie Whiston 95-04621 Name of Respondents Bear Stearns & Company Stephen Dantus Vincent Dicks Doug Duncan Stephen Raphael Jason Schwartz George Sarner REPRESENTATION For Claimant Stephanie Whiston, ("claimant"), appeared Ruthann G. Niosi, Esq. of the Law offices of Ruthann G. Niosi, Esq., P.C., located in New York, New York. For Res

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Erlinda S. Olsen and 01-01065 Minneapolis, Minnesota Name of Respondent E*Trade Securities, Inc. REPRESENTATTQN OF PARTIES Erlinda S. Olsen ("Claimant") appeared pro se. E*Trade Securities, Inc. ("Respondent") was represented by Eric E. Bronson, Esq., Bird Marella Boxer & Wolpert PC, Los Angeles, California. CASE INFORMATION The Statemen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant * ~ Michael R. Kay 95-04618 ©National Associatwr- Securities Dealers. Jnc. AH Rights Reservu; REPRESENTATION Claimant Michael R. Kay ("Claimant") was represented at the hearing by Leonard R. Goldstein, Esq. and Robert Olsen, Esq. of Law Offices,of Goldstein and Baron, College Park, MD. ; - : . . " • .

AWARD NASD REGULATION INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Douglas C. Johnston Arbitration No. 95-04616 Name of Respondent Prudential Securities, Incorporated REPRESENTATION For Claimant: , , i: . : J. Leo Federman ^ ? -^;> Investor'sRights Association, Inc. Santa Barbara, California For Respondent: •"•"* ; Mr. William M.Cassarini, Esq. Prudential Sec

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Elizabeth M. Horton, Claimant, v. No. 95-04614 Financial Dynamics, Inc., Lauren G. Childress, and Chubb Securities Corp., Respondents. REPRESENTATION OF PARTIES Claimant Elizabeth M. Horton was represented by Michael H. Wald, Esq. of Law Offices of Michael H. Wald located in Richardson, TX. Respondent Financial Dynamics, Inc. was not rep

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William Dawson 95-04609 Names of Respondents Calton & Associates Inc. Terry Duffield REPRESENTATION For Claimant, William Dawson ("Dawson"): Jeffrey P. Coleman, Esq. of the law firm of Bonner, Hogan & Coleman, P.A., Clearwater, FL. For Respondents, Calton & Associates, Inc. ("Calton") and Terry Duffield ("Duffield 11

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Robert Bruce Harris 95-04602 Name of Respondents Cantella & Co., Inc. George Rosen REPRESENTATION For Claimant, Robert Bruce Harris ("Claimant"), appeared John E. Ryan, Esq. of the law firm Kwiatkowski & Ryan, in Floral Park, New York. For Respondent, Cantella & Co., Inc. ("Cantella"), appeared Michael Sheetz, Esq. of the law firm

NASDR AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Fred L. and Michelle A. Ceroli Claimants v. NASDR Arbitration No. 95-04596 La Jolla Securities Corporation Tom Moore © National Association of Securities. Dealer* ?•*-. Respondents REPRESENTATION OF PARTIES Fred L. and Michelle A. Ceroli ("Claimant") represented themselves pro se. All Rights Reserved La Jolla S