12-21-1994 04:14PM FROM NflSD flrbitration/Chicago TO 12128583974 P.13 RA.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard B. Rosenthal 93-01360 Name of ftesnondents Shearson Lehman Brothers, Shearson T .rhmaTi Brothers Holdings Inc.; Shearson Lehman Brothers Holdings Inc. Employee Benefit Plans Committee; Trustees of die Shearson Lehman Brothers Holdings Inc. Retirement Trust. Fo

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John C. West 93-01356 Name of Respondents J.W. Gam and Associates. Inc. Hanifen, Imhoff, Inc. Steven Paul Shipley CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 5, 1993, Claimant John C. West, who appeared Pro Se, alleged that in June, 1992 he received an unso

N.A.S.D. AWARD W NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Namenf Claimant Prudential Securities Incorporated Casetf vs. 93-01350 Name of Respondent Darold C. Brooks REPRESENTATION For Claimant: Dennis J. McCarthy, Esq. of Prudential Securities, Inc. For Respondent: Mitchell S. Rosen, Esq. of Rowc, Foltz & Martin, P.C. CASE INFORMATION Claimant's Statement of Claim filed: March 15,1993 Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimants Dominick and Dolores DiNapoli 93-01347 Name of Respondent American Bond Group, Inc. REPRESENTATION Claimants, Dominick and Dolores DiNapoli, appeared pro se. Respondent, American Bond Group, Inc., did not appear. CASE INFORMATION Statement of Claim filed: March 31, 1993. Claimant's Submission Agreement signed on: April

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SF.CURTTTES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Tsvi Harry Esdi&e NASD Arbitration Jack White fit Company, Inc. and Steve Conway For Claimant: Tsvi Harry Esdine, For Respondent Jack White & Company, Inc Robert O. Reed, Executive Vice Presideiu, Jack White & Company, Inc. For Respondent Coniray: Stephen V. Cooway, prose CASE INPQItMATIQN Statement of Claim file

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Dr. Mark Perrino & Kaiin Nyenstad 93-01343 Name of Respondents Shearson Lehman Brothers, Inc. Karen Friedman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 5, 1993, Claimants Mark Perrino and Karin Nyenstad, who appeared Pro Se, alleged that in 1991 when they beg

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alfonso DeMartino, (Claimant) vs. Prime Capital Services, Inc. and Salvatore Liggieri, (Respondents) Case Number: 00-03614 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Alfonso DeMartino, hereinafter referred to as "Claimant": Arthur P. Fisch, Esq., Attorney at Law, New York, NY. Respondent, Prime Capital Services, Inc. ("Prime"): Fred N. Knopf, Esq., Wils

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dean Witter Reynolds, Inc., Claimant vs. Mohammed Alam, Respondent. Case Number: 00-00370 * Hearing Site: Nashville, Tennessee REPRESENTATION OF PARTIES Claimant, Dean Witter Reynolds, Inc. ("Dean Witter"), hereinafter referred to as "Claimant", was represented by Anita M. Britton, Esquire, and Crystal Osborne, Esquire, of Stoll, Keenon & Park, LLP, Lexington, Kentucky. Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Samuel Lipson, (Claimant) vs. Prudential Securities, Inc., Dean Witter Reynolds Inc., Corporate Securities Group, Inc. n/k/a JW Genesis Financial Services, Inc., and Richard D. Gluck, (Respondents) Case Number: 00-00035 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Samuel Lipson, hereinafter referred to as "Claimant": Ralph A. Gant, Esq., a sole practit

N.A.S.D. AWARD In the Matter of the Arbitration Between Name of Claimant Claramae R. Jones 93-01334 Name of Respondent Corporate Securities Group, Inc. REPRESENTATION For Claimant, Claramae R. Jones ("Jones"): Philip J. Snyderburn, Esq. of Snyderburn, Rishoi & Swann, Winterpark, Florida. For Respondent, Corporate Securities Group, Inc. ("CSG"): Gregory Tendrich, Esq. of Corporate Securities Group, Inc., Boca Raton, Florida. CASE INFORMAT