NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Baruch Coleman Case No. vs. 96-03624 Name of Respondents Brookstreet Securities Corporation Stanley C. Brooks Virginia M. Brooks REPRESENTATION Claimant Baruch Coleman ("Claimant") appeared pro se. For Respondents Brookstreet Securities Corp. ("Brookstreet"), Stanley C. Brooks ("S. Brooks"), and Virginia M. Brooks ("V. Brooks") (collectively "Re

NASD Regulation, Inc. AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of ClaimantCs) John L. Head 96-03622 Name of Respondents) Smith Barney Inc. Laura Baker Marileigh Hensley REPRESENTATION For Claimant John Head ("Head"): Jonathan E. Perlman, Esq. of Blum & Perlman, Miami, Florida. For Respondents Smith Barney, Inc. ("Smith Barney"), Laura Baker ("Baker") and Marileigh Hensley (Hensley"): Christopher O

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-03618 Virginia O. Brinkman, claimant v. Don Dover, respondent. ATTORNEYS: For Claimant Claimant appeared Pro Se. - Saint Petersburg, FL. For Respondent Julie Reed, Esq. - Detroit, MI. DATE FILED: 8/21/96 CASE SUMMARY: Claimant alleged misrepresentation in the sale of stock and dividend payout and the amount of commission charged. Claim Data Awa

JUN. 35.1998 11 : 52PM NftSD REGULATION INC NO. 153 P. 2 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitratioii Between Name of Walter and Shirley Henderson 96-03612 Name of .Respondents Great American Financial Network, Inc. Aegon USA Securities, Inc. Victor Verola Sharon L. Jackson-Burchett REPRESENTATION For Claimants: William J. Schifino, Jr., Esq. and Kenneth 0. Turkel, Esq. of the law firm o

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Lee H. Pearce v. Arbitration No. 96-03608 Name of Respondent^ Merrill Lynch, Pierce, Fenner & Smith, Inc. James Tenuto Michael Vorst John Folsom Linda Stirling REPRESENTATION For Claimant: Thomas R. Gill, Esq. and Judith Hartwig, Esq., Employment Law Center Incorporated, San Diego, California For Responde

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Edwin W. Parrett and 96-03605 Name of Respondent Investors Associates, Inc. Jeffrey Mansfield REPRESENTATION OF PARTIES Edwin W. Parrett ("Claimant") was represented by Robert C. Roth, Jr., Esq., Kutak Rock, Denver, Colorado. Investors Associates, Inc. ("Respondent IAI") was represented by Lawrence R. Gelber, Esq., Inves

N.A.S,D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Latlnvest Securities Inc. 96-03604 Name of Respondent William Harten REPRESENTATIONS For Claimant Latlnvest Securities Inc. ("Claimant") appeared Keith McDermott in-house-counsel located in New York. For Respondent William Harten ("Respondent") appeared Douglas Preston, Esq., located in Hieksville, New York. Statement o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lee Deane %-03603 Name of Respondent Global Equities Group Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on August 20. 1996. claimant Lee Deane ("claimant"), who appeared Pro Se, alleged thai respondent Global Equities Group. Inc. ("GEG") without his authorization made a

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Murray G. Greenberg 96-03599 Name of Respondents Prudential Securities, Inc. John P. Kneafsey REPRESENTATION Claimant Murray G. Greenberg ("Claimant") was represented by John H. West, III, Esq., Baltimore, MD. Respondents Prudential Securities, Inc. ("PSI") and John P. Kneafsey ("Kneafsey") were represented by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Todd M. Braner 96-03597 Name of Respondent Del Mar Financial Services, Inc. In a case filed with the National Association of Securities Dealers Regulation, Inc. on August 20, 1996, claimant Todd M. Braner ("claimant") who appeared Pro Se, alleged that respondent Del Mar Financial Service, Inc. ("Del Mar") lowered the amount of the