N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David H. Adler 95-00545 Name of Respondents Gregg A. Rosenbaum Westfield Financial Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 1, 1995, Claimant David H. Adler, who appeared Pro Se, alleged that Respondents Westfield Financial Corporation ("WFC") and Gregg

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Scott Martone 95-00544 Name of Respondent Tom Oberle CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February l, 1995, Claimant Scott Martone, who appeared Pro Se, alleged that Respondent Tom Oberle, of Dean Witter Reynolds, Inc. misled him into purchasing TCW/DW EMO, which he was

< * N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Milton P. Smith 95-00543 Name of Respondents Prudential Securities, Inc. Ed Daniel CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 1, 1995 Claimant Milton P. Smith ("Claimant"), who appeared Pro Se, alleged that Respondents Prudential Securities, Inc. ("PSI"), and Ed Da

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Bruce Grossinger Case No. 00-03824 Morgan, Taylor & Associates, Inc. Craig A. Cory Gregory Small John Ludemann, Jr. Jamie M. Landes Fiserv Correspondent Services, Inc. Hearing Site: Philadelphia, PA OF Claimant, Bruce Grossinger ("Grossinger"), hereinafter referred to as "Claimant": Nicholas J. Guiliano, Esq., Attorney at Law, Philadelphia, PA. Respo

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Paine Webber, Inc. Arbitration No. v. 95-00539 Robert G. Linton REPRESENTATION OF PARTIES Paine Webber Inc. ("Claimant") was represented by Peter J. Bado, Esq., Paine Webber Inc., Los Angeles, California. Robert G. Linton ("Respondent") represented himself pro se. CASE INFORMATION Claimant's Statement of Claim was filed on or about January

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Charles A, Thurman, Claimant, and No. 95-00536 Southhampton Preferred Equities, Inc., Respondent. REPRESENTATION OF PARTIES Charles A. Thurman ("Claimant") appeared on his own behalf. Southhampton Preferred Equities, Inc. ("Respondent") failed to appear at the hearing. CASE INFORMATION Claimant's Statement of Claim was filed on or about F

NASD REGULATION, INC. AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Eric Emst v. Arbitration No. 95-00522 Name of Respondents Stratum Oakmont, Inc., Dean S. Friedman, Leonard Dunn, Mathias Tiffert, Paul Byrne, Daniel Porush, Jordan Belfort, Michael J. Raskin and RMS Network, Inc. REPRESENTATION For Claimant: Ricki C, Ring, Esq. Jay R. Stein, Esq. Law Offices of Ric

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Christopher G. Wye/Estate of Ernest A. Wye, Jr. Case No. 95-00521 Name of Respondent Chatfield Dean & Company REPRESENTATION For Claimant, Christopher G. Wye/Estate of Ernest A. Wye ("Wye"): George Franjola, Esq. of Allen, Dyer, Doppelt, Franjola & Milbrath, P.A., Orlando, Florida, For Respondent, Chatfield Dean & Company ("Cha

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David McFarland and Patty McFarland 95-00519 Name of Respondents Eric R. Benke Continental Broker-Dealer Corp REPRESENTATION For Claimant David and Patty McFarland ("claimants") appeared Michael D. Freeman, Esq. of Balch & Bingham located in Birmingham, Alabama. For Respondents Continental Broker-Dealer Corporation ("Conti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James J. Giganti, M.D. 95-00516 Name of Respondents Greenway Capital Corp. Marc A. Russo REPRESENTATION For Claimant: James A. Devito, Esq. of Devito & Colen P.A., Largo, FL, For Respondent, Greenway Capital Corp. ("Greenway"): Ruthann G. Niosi, Esq., New York, NY. For Respondent, Marc A. Russo ("Russo"): Marc J. Ross,