N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants George and Arloa Van Koevering 95-00851 Name of Respondents Carla Masselink J.J.B. Milliard, W.L. Lyons, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 17, 1995, Claimants George and Arloa Van Koevering, who appeared Pro Se, alleged that Respondent Carla Masselink of th

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles Schwab & Co., Inc,, (Claimant) vs. Roseann Paulsen and Donald Paulsen, (Respondents) Case Number: 00-04579 Hearing Site: Albany, New York REPRESENTATION OF PARTIES Claimant, Charles Schwab & Co., Inc., hereinafter referred to as "Claimant": Richard A. Karoiy, Esq., Corporate Attorney, Charles Schwab & Co., Inc., San Francisco, CA. Respondents, Roseann Paulsen and D

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Kemper Securities, Inc. and 95-00832 Name of Respondent James Noryian REPRESENTATION OF PARTIES Kernper Securities, Inc. ("Claimant") was represented by Renan I. Sugarman, Esq. of Everen Securities, Inc. (f/k/a Kemper Securities, Inc.) located in Chicago, IL. James Noryian ("Respondent") did not file any submissions and did n

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frank Russo 95-00823 Name of Respondent Greenway Capital Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 16, 1995 Claimant Frank Russo ("Claimant"), who appeared Pro Se, alleged that Respondent Greenway Capital Corp. ("Respondent") purchased securities for his account wi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Paul E. & Roxana Nowak, JTWROS Claimants vs. Peter Scott Dean Witter Reynolds, Inc. Respondents CASE #90-03272 AWARD HASE SUMMARY Paul E. and Roxana Nowak, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on November 20, 1990, alleged that Respondent Peter Scott, an account executive at Dean Witter Reynolds,

Arbitration ® National Association of KT A S D AWARD Securities Dealers, Inc. JM.A.£>.U. AWAKU NASD Financial Center 33 Whitehall Street NKTICHAL ASSOCIATION OF SECURITIES DEftI£RS New York, N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between Of Melvin H. and Delores H. Matthews et. al 90-03265 Name of Respondents Shearsoa Lehman Brothers/ Inc. Nelson M. Polun For Claimants: Dickee M. Howard, Esq. and William N

N.A.S.D. AWARD Arbitration ® National Association of NATIONAL ASSOCIATION OF SECURITIES DEALERS Securities Dealer*, Inc. One East Broward Boulevard In the Matter of the Arbitration Between ) Suite 100 ° \ Ft. Lauderdale, Florida 33301 „ _ __ . . , . ; (305) 522-7391 Name of Claimant (s) ) ===== } Saul Bialilew ) ) Case No. 90-03245 Name of Respondent (s) ) ) Shpnracn Lehman Hutton, Inc. ) Alan Yarfcin ) For Claima

Arbitration N.A.S.D.-AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Between Name of National Association of Securities DeaJact, Inc. NASD Financial Center 33 Whitenall Street New York, New York 10X) Marrill Lynch Pierce Farmer & Smith Ire 90-03240 Silvio J. DiMadio Sandra Kern For Claimant: Robert T. Cohen, Esq. Fbr Respondent, Silvio J. DiJfedio: Donald E. Wydrzynski, Esq. Third-Party R

Arbitration N.A.S.D. NATIONAL ASSOCIATION CF SECURITIES DEALERS In tne Matter of the Arbitration Between National Association ot Securities Dealers. Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 =AX (212) 858-4389 Eli Ariel! Name of David Disner Michael Breshears BC Financial Corp. THIRD-PARTY RESPONDENT Larry Kerschenbaum 90-03237 For Clairrant: William Greenberg, Esq., Sole Practitioner.

NASD Dispute Resolution In the Matter of the Arbitration Between: nf thf. PlflimflnfQ Pflgp ^1TT1 h ?r 00-04573 Eric H. Heydemann Christine Heydemann L.T.D., LTD n f th p Pf^p^n^ p n tt; Marina .^ite- Baltimore, MD Merrill Lynch, Pierce, Fenner & Smith, Inc. Edward W. Blatz Neil J. Surgenor pF.ppFMF.ispr/VTTON OF PAHTTF.S Claimants Eric Heydemann, Christine Heydemann and L.T.D., LTD ("LTD") hereinafter