NASD Regulation, Inc., Award In the Matter of Arbitration Between Prudential Securities, Inc., Claimant, and No. 97-04638 John J. Baskin, Respondent. REPRESENTATION OF PARTIES Claimant, Prudential Securities. Inc. ("PSI") was represented by Stephen T. Johnson, Esquire of Prudential Securities, Inc.. Law Department, located in Dallas, Texas. Respondent, John J. Baskin ("Baskin") was represented pro se during these proceedings, and did not app

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants John K. Flaherty Case No. 00-002275 Name of Respondent Terrence C. Herr William C Herr RKPRESENTATTON OF PARTIES Claimant John K. Flaherty, "Claimant," was represented by John C, Griffin, Esq. of Griffin & Gallagher located in Palos Hills, Illinois. Respondents, Terrace C. Herr and William C. Herr, hereinafter collectively referred to as "R

^ X NASD REGULATION, INC AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants David and Jane Bell 97-04637 Name of Respondents Scott & Stringfellow, Inc.; Alexander J. Von Thelen REPRESENTATION For Claimants, David Bell and Jane Bell (the "Bells"): Gail E, Boliver, Esq. of Boliver law firm, MarshalItown, IA. For Respondents, Scott & Stringfellow, Inc. ("Scott & String

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. i < CASE: 97-04635 Ron Heemeier, claimant vs. First Cambridge Securities Corp.; Matthew L. Towers; Michael Metter and Bear Stearns Securities Corp., respondents. ATTORNEYS: Claimant appeared Pro Se. - Murrieta, CA. For Respondent First Cambridge Securities Corp. appeared Mark S. Bauman, Esq. - New York, NY. Respondent Matthew L. Towers did not appear. For r

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Timothy M, Stratford Case No. vs. 97-04630 Name of Respondents Josephthal Lyon & Ross Inc. Steven Conrad REPRESENTATION Claimant, Timothy M. Stratford ("Claimant"), represented himself at the hearing. For Respondents, Josephthal Lyon & Ross, Inc. ("JLR") and Steven Conrad ("Conrad"), (collectively, "Respondents"), John Bersin, Esq., in-house counsel

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04629 John C. Ash, claimant vs. John Del Cioppo, A.S. Goldmen & Co., Stuart Winkler and Anthony Marchiano, respondents. ATTORNEYS: Claimant appeared Pro Se. - Southington, CT. For Respondents appeared Carole Bernstein, Esq. DATE FILED: 9/19/97 CASE SUMMARY: Claimant alleged failure to execute, manipulation, misrepresentation, omission of material fact

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-04628 Edward A. Metz, claimant vs. Your Money Matters Brokerage Services, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Randolph, NJ. For Respondent, appeared its President, Mark C. Schultz, Lebanon, NJ. DATE FILED: September 19, 1997. CASE SUMMARY: Claimant alleged that respondent withheld his commissions until the expiration of the chargeback pe

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-04627 William R. Starke, claimant vs. Olde Discount Corp., respondent. ATTORNEYS: Claimant appeared Pro Se, Fort Collins, CO. Respondent did not submit a Statement of Answer. DATE FILED: September 19, 1997. CASE SUMMARY: Claimant alleged that respondent failed to notify him in a timely manner of its refusal to execute his buy order for shares of Primadonna

•OCT. 10.1996T"1 2 :44PI1 NflSD REGULATION FL NO.292 P.23 AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants William G. Shute and Joanne Shuts NASD CASE NO. 97-04623 Name of Respondents A,S. Goldmen &. Co., Inc., Sheldon Wilson and Ian Hosang REPRESENTATION For Claimants: Stephen D. Spivey, Esq., Qcala, Florida. Pot Respondent A.S. Goldmen & Co., Inc. ("Goldmen"

r' ' NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant D.E. Rhodes and Case Number 97-04622 Names of Respondents Paine Webber, Inc. and David Rosegarten REPRESENTATION OF PARTIES Claimant, D.E. Rhodes was represented by John Courtade, Esquire, of Austin, Texas. Respondents, PaineWebber, Inc. and David Rosegarten were represented by M. Major Khan, E