N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Eileen C. and Eric E. Schenck 94-00956 Name of Respondents Fidelity Brokerage Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 11, 1994, Claimants Eileen C. and Eric E. Schenck, who appeared Pro Se, alleged that they purchased shares of Vision Sciences, Inc. of Cal

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Maryrose and Carl Mulert 94-00919 Name of Respondents Marvin R. Bun Butt & Associates, Inc. REPRESENTATION Claimant Maryrose and Carl Mulert ("Claimants") were represented by Russell L. Forkey, Esq., Ft. Lauderdale, FL. Respondents Marvin R. Burt ("Burt") and Burt Associates, Inc. ("BA") were rep

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants GKN Securities Corp. 94-00414 Name of Respondents Mitchell Lass CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1994, Claimant GKN Securities Corp., through its in-house counsel Katherine Nathan, Esq., New York, New York, alleged that Respondent Mitchell Lass entered i

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Elaine Berel 94-00211 Name of Respondents The Dreyfus Service Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 18, 1994, Claimant Elaine Berel, who appeared Pro Se, alleged that she was told by a representative of Respondent The Dreyfus Service Corporation ("Dre

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Michael Randall and Sheila Randall and 00-03745 Phoenix, Arizona Name of Respondents Prudential Securities Incorporated Janet Horowitz REPRESENTATION OF PARTIES Michael Randall and Sheila Randall ("Claimants") were represented by Stephen C. Yost, Esq., Campbell, Yost, Hergenroether & Clare, PC, Phoenix, Arizona until October 16, 2001. Since

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aitutrauon Between Name of Claimants Dain Bosworth Inc.. Michael C Conroy and William A. Ford 94-00194 Name of Respondent Dougherty Dawkins. Strand & Bigeiow, inc. Third-parties, Peggy Lehtola ana Dana Descourouez REPRESENTATION OF PARTIES For Claimants, Dain Bosworth, Inc., Michael Conroy, and William Ford, and Third-Party Respondents, Peggy Lehtola and Dana

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mark Skiba 94-00176 Name of Respondents Gruntal & Co., Inc. Peter Bizinkauskas CASE SUMMARY In claim filed with the National Association of Securities Dealers, Inc. on January 17, 1994, Claimant Mark Skiba, who appeared Pro Se, alleged that Respondent Peter Bizinkauskas, through the Respondent firm Gruntal & Co., Inc., gave

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ralph F. and Florence W. Williams, JT TEN 94-00157 Name of Respondents A.G. Edwards & Sons, Inc. Edward Bowne CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 14, 1994, Claimants Ralph F. and Florence W. Williams, who appeared Pro Se, alleged that Respondent Edward Bowne ("

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Fred Zalatan 94-00099 Name of Respondents Matthews, Holmquist & Associates, Inc. Thomas Anthony Calise CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 7, 1994, Claimant Fred Zalatan, who appeared Pro Se, alleged that Respondent Thomas Anthony Calise ("Calise"), a broker at

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael A. Malamed 94-00095 Name of Respondent/ Third-Party Claimant Chapdelaine Corporate Securities & Company, Inc Name of Third-Party Respondent McFadden, Farrell & Smith, Inc. Representation For Claimant Michael A. Malamed ("Claimant") appeared George Brunelle, Esq. located in New York City, New York. For Respondent