AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Gerry Fiecke and 96-04062 Name of Respondent Greenway Capital Rocco Basile REPRESENTATION OF PARTIES Gerry Fiecke ("Claimant") was represented by pro se. Greenway Capital ("Respondent") did not appear at the hearing. Rocco Basile ("Respondent") did not appear at the hearing. CASE INFORMATION The Statement of Claim wa

AWARD NASD REGULATION INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between * Name n( Claimants John Eberle; Aileen Bolger 96-04059 of Respondents Duff & Phelps Securities Co,; Phoenix Duff &Phelps REPRESENTATION For Claimant: John Eberie ("Eberie") and Aileen Bolger ("Bolger") were represented by Robert A. Glaves, Esq. of Menges, Mikus & Molzahn, located in Chicago, Illinois. For Respondent: Duff & Phelps Secur

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-05196 John J, Boyle, claimant vs. Jason Weissman and Morgan Stanley Dean Witter, Inc., respondents. ATTORNEYS; Claimant appeared Pro Se, Riverdale, NY. For Respondents appeared in-house counsel, Douglas F. Stone, Esq., New York, NY. DATE FILED: November 22, 2000 CASE SUMMARY; Claimant alleged respondents failed to execute stop loss orders as requested. Claimant maintained that

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Toni Oliveri 96-04048 Name of Respondents Daniel Abbatemarco Garvin Guy Butler, G.P. Garban, L.L.C. REPRESENTATION For Claimant Toni Oliveri ("Oliver!") appeared Richard Schulman, Esq., of the law offices of Bryan Cave LLP, located in New York, New York. For Respondents Daniel Abbatemarco ("Abbatemarco"), Garvin Guy Butler, G.P. ("Garvin") and G

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-04047 Mario L. Bianco, claimant v. Dreyfus Service Corp., respondent. ATTORNEYS: Claimant appeared Pro Se., West Babylon, NY. For Respondent Through its Chief Legal Officer, Andrew C. Wels - New York, NY. DATE FILED; 9/10/96. CASE SUMMARY: Claimant alleged failure to follow instructions to mail check from the close out of his account causing loss on fu

NASD REGULATION AWARD NASD REGULATION, INC. lo the Matter of the Arbitration Between Name of Claimant Alfred Bornemann % 96-04046 Name of Respondents Investors Associates, I tic Steven Cohen REPRESENTATION For Claimant, Alfred Bornemann {"Claimant"), appeared Anthony J. Horn, Esq. located Ln Philadelphia, Pennsylvania. For Respondents, Investors Associates, inc. ("IAI") and Steven Cohen ("Cohen") (collectively the "Respondents"),

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Willie A. Larks 96-04044 Name of Respondents Edward Dorr; J.B. Oxford & Co. REPRESENTATION For Claimant: Willie A. Larks ("Larks") was represented by Anthony J. Horn, Esq. of Philadelphia, Pennsylvania. For Respondent: J.B. Oxford & Co. ("JBOC") and Edward Dorr ("Dorr") were represented by Jeffrey Kob, Esq. of Miller Mi

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04041 John W. Braucht and Luella D. Braucht, claimants vs. Raymond James & Associates, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se For Respondents John N. Critchlow, Esq., St. Petersburg, Florida DATE FILED: September 11, 1996 CASE SUMMARY: Claimants alleged that they incurred a loss when respondent cancelled transactions in their stock/o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimants Martin and Marcia Kepecs 96-04039 Name of Respo/idents Merrill Lynch Pierce Fenner & Smith Inc John C. Varricchio CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on September 10, 1996, claimants Martin and Marcia Kepecs ("claimants"), who appeared Pro Se» alleged that respondents

N.A.S.D. ARBITRATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC, In foe Matter of the Arbitration Between NJ^me of Claimant James E. Hayes 96-04036 Name of Respondents A.S. Goldmen & Company, Inc. Everen Clearing Corp. SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on September 10. 1996, claimant James Hayes ("claimant"), who appeared Pro Se, alleged that respondents A.S. Go