Award NASD Dispute Resolution In the Matter of the Arbitration Between: Airey Holding, Inc. ("Claimant") vs. J.B. Oxford & Company ("Respondent") Case Number: 01-06911 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Airey Holding, Inc., hereinafter referred to as "Claimant": Susan J. Steinthal, Esq., Richards Spears Kibbe & Orbe, New York, NY. Respondent, J.B. Oxford & Company, hereinafter referred to as "Respondent": Cynthia M.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeannie Wilen and Ronald Wilen (Claimants) v. A.G. Edwards & Sons, Inc., Charles Gary Henry, and Walter Roth (Respondents) Case Number: 01-06906 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Jeannie Wilen ("J. Wilen") and Ronald Wilen ("R. Wilen) hereinafter collectively referred to as "Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kirlin Securities, Inc., (Claimant) vs. Alexander Yelensky and Stephen Oliver, (Respondents) Case Number: 01-06905 (Consolidated w/02-00766) Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Kirlin Securities, Inc., hereinafter referred to as "Claimant": Isaac M. Zucker, Esq., General Counsel, Kirlin Securities, Inc., Syosset, NY. Respondents, Alexander Yelensky (

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of fl>«*. ripimarit r^. ]sfrpnhgr 01-06902 David L. Thurston Tig Sitf ' Dallas, Texas Southwest Securities, Inc. and Scott D. Schroeder Claimant David L. Thurston, hereinafter referred to as "Claimant": Kirk G. Smith, Esq., of the law firm of Shepherd, Smith & Bebel, P.C., located in Houston, Texas. Respondents Southwest Securities, Inc. ("Southwest") and Scott D. Schro

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Curtis Lewerke Dennis Lewerke Jonathan Lewerke and 01-06896 Omaha, Nebraska Name of Respondents American General Securities, Inc. Dennis T. Siamis Anthony Bever First Union Securities, Inc. REPRESENTATION OF PARTIES Claimants Curtis Lewerke, Dennis Lewerke and Jonathan Lewerke, hereinafter collectively referred to as "Claimants," were

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Youssef N. Marzouk and Wanda Marzouk, (Claimants) vs. Charles Schwab & Co., Inc., (Respondent) Case Number: 01-06894 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Youssef N. Marzouk ("Y. Marzouk") and Wanda Marzouk (*'W. Marzouk")* hereinafter collectively referred to as "Claimants": Jonathan J. Lerner, Esq., Starr, Gern, Davison & Rubin, P.C., Roseland,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: fi r»f tfa* Claimant Cflflf Nll™^ 1 " 01-6893 Alan L. Levenson Namp.s nf ffrf Rpftpnf|(]fnt< : Hf filing fifr ft " Pittsburgh, PA Dennis Grantz Arthurs, Lestrange & Company, Inc. ttFPttFSFTSJTATTOTV OF PAttTTFS Claimant, Alan L. Levenson ("Levenson"), hereinafter referred to as "Claimant", was represented by Robert M. Kramer, Esq., Pittsburgh, PA. Responde

N.A.S..D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-05568 Dale M. Gibbons, claimant vs. Charles Schwab & Co. Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Salt Lake City, UT. For Respondent appeared its in-house counsel, Rhonda Jones, San Francisco, CA. DATE FT! .HP: November 25, 1997 CASE SUMMARY: Claimant alleged that respondent failed to execute an order to buy 500 shares of First Security Corp

DEC.19.199S i:09PM NASD RESULflTION FL NO.754 P.29 NASD REGULATION, INC. AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Naire of Claimant Martha V/". Dickson NASD CASE NO. 97-05567 fe'ames_Q_f Respondents Dean Witter Reynolds Inc. and Allert Lucci REPRESENTATION For Claipant: Richard C. Migliaccio, Esq. of Richard C. Migliaccio, P-A., Vero Beach, Florida. Mr. Migliaciio filed a Notice o

N.A.S.D. REGULATION, INC. AWARD CASE: 97 - 05563 Karl H. Janhsen, claimant vs. Redstone Securities, Inc., & Kirk Graham respondents. ATTORNEYS: Claimant appeared Pro Se. - Port Jefferson, NY. Respondent Kirk Graham appeared Pro Se. - West Hempstead, NY. For Respondent Redstone Securities, Inc. appeared Charles M. O'Rourke, Esq., - Garden City, NY. DATE FIT,HP: 11/25/97 CASE SUMMARY: Claimant alleged failure to execute trade. Claim Data Award Dat