AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between ®SttS^"° f Name of Claimant «*" IQQfi Dean Witter Reynolds, Inc. All Rights Reserved 96-03997 Name of Respondents Oppenheimer & Co., Inc.; David A. Melby REPRESENTATION For Claimant: Dean Witter Reynolds, Inc. ("Dean Witter") was represented by Ronald P. Kane, Esq. of Gomberg, Kane & Fischer, Ltd., located in Chicago, Illinois. For Resp

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Vijay S. and Vaishali V. Havaldar 96-03993 Name of Respondent National Discount Brokers REPRESENTATION For Claimants Vijay S. Havaldar and Vaishali V. Havaldar ("claimants") appeared Adolph D. Seltzer, Esq., New York, New York. For Respondent National Discount Brokers ("respondent**) appeared David Robbins, Esq., of Kaufmann, Fein

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Douglas A. Kahn 96-03991 Name of Respondents A.S. Goldmen & Company, Inc. Frederick Birk CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 6, 19%, claimant Douglas A. Kahn ("claimant"), who appeared Pro Se, alleged that respondent A.S. Goldmen & Company, Inc. ("A.S. Goldmen

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Alex Theodore 96-03990 Name of Respondent Investors Associates Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on September 6, 1996, claimant Alex Theodore ("claimant"), through his representative and counsel Bruce Shand, Esq. of the law firm Ber

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Armin Esmaeili-Tehrani, Firouzeh Sarraf, Mehdi Sarraf, and Homay Sarraf v. Arbitration No. 96-03981 Name of Respondents Pacific Coast Financial Securities, Inc., Scott A. Presta, Thomas Cans, Don Tuilio Morandini, and Alan Lund REPRESENTATION For Claimants: Paul W. Thomas, Esq. Law Offices of Paul W

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-05183 William Cutler, claimant vs. Brown & Co. Securities Corp., respondent. ATTORNEYS: Claimant, William Cutler, appeared Pro Se, San Antonio, TX. For Respondent Brown & Co. Securities Corp. ("Brown") appeared Barry S. Fischer, Esq., in house counsel, Boston, MA. DATE FILED: November 21, 2000 CASE SUMMARY: Claimant alleged that respondent failed to complete execution of "sell to

Award NASD Dispute Resolution, Inc, In the Matter of the Arbitration Between: Steven Gross and Carol Gross, (Claimants) v. First Union Securities f/k/a/ Everen Securities and Ronald W. Fox, (Respondents) Case Number: 00-00524 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Steven Gross and Carol Gross ("Gross"): Richard D. Grossman, Esq., Chicago, Illinois. Respondent First Union Securities f/k/a/ Everen Securities ("First Uni

I N,A.S.D. AWARD I NATIONAL. ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Lora and Brad Leonard: 96-03979 Name of RespoJHtents Mark S. Garfinkel Commonwealth Associates REPRESENTATION For Claimants: Stephen Murphy, Esq. of Pico & Dicks, Longwood, FL. For Respondent Commonwealth Associates ("Commonwealth"): J.P. Wilson, Esq. of Commonwealth, New York, NY. For Respondent Mark Coun

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Herman Glaser Lenard Thylan 96-03974 Name of Respondent H.J. Meyers & Co., Inc. REPRESENTATION Claimants Herman Glaser ("Closer") and Lenard Thylan ("Thylan") were represented by Dan Brecher, Esq. and Eric Ross, Esq., Fischbein Badillo Wagner Harding, New York, NY. Respondent H.J. Meyers & Co. (f.k.a. Thomas James & As

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Marvin N. Fountain Case No. 96-03973 Name of Respondents H.J. Meyers & Co., Inc. (formerly known as Thomas James Associates, Inc.) Robert Setteducati Mark Allen REPRESENTATION For Claimant Marvin N. Fountain ("Claimant"): Dan Brecher, Esq., of the law firm of Fischbein, Badillo, Wagner & Harding, New York, New York