N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph Pipitone 95-05377 Name of Respondents Edward Steven Rogers Hunter Intemational Securities CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 14, 1995 Claimant Joseph Pipitone ("Claimant"), who appeared Pro Se, alleged that Respondents Edward Steven Rogers ("Rogers") and

NASD REGULATION, INC. AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Raul Varela, DOS as Trustee for Raul Varela DDS Incorporated Profit Sharing Plan v. Arbitration No. 97-04152 Name of Respondents Terry O'Prey, Pen Cal. Jennifer Davis, Robert Penland REPRESENTATION For Claimant: Steven L. Miller, Esq. Law Offices of Steven L. Miller Encino, California For Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sheldon N. Sokol 95-05322 Name of Respondent Marsh Block & Co., Inc. CASE SUMMARY — -.-I I — I I— I. •! ^. In a claim filed with the National Association of Securities Dealers, Inc. on November 9, 1995, Claimant Steven N. Sokol ("Claimant"), through his representative, Hugh M. Hosford, Esq., located in Philadelphia, PA, alleg

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name nf naiman| Charlene Renales 95-05357 Name of Respondent A.G. Edwards & Sons, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 14, 1995, Claimant Charlene Renales ("Claimant"), through her representative and counsel. Amy D. Drachman, Esq., located in Boston, MA, alleged tiiat Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Atlantic Business Group Inc. 95-05342 Name of Respondent Lew Lieberbaum «& Co., Inc. Brad Porter CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 10,1995 Claimant Atlantic Business Group ("Claunant"), who appeared through its representative and President Michael J. Feeney ("F

•4 » N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tiie Matter of the Arbitration Between Name of Claimant Fidelity National Capital Investors, Inc 95-05346 Name of Respondent Jan R. Johnston CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 10, 1995, claimant Fidelity National Capital Investors, Inc. (referred to as "FNCI" or "claimant"), through its representative and c

JAN.10.1999 . l:i4PM NflSD BOCP AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Bernice Firestone, Richard Lchrer and Maureen Parent!, JTWROS 97-Q414S of Respondents Donald T. Buahawn Thomas K. "Wasscnnan & Associates, Inc. REPRESENTATION For Claimant; Jim Scutti, Esq. of Jim Scute, P-A., Boca Raton, Florida, For Respondent Donald T. Bushawn ("Buehawn"): Albert A. Rappoport, Esq., Boca Riton, Florida. For Res

N A.S.D. AWARD .NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Maner of the Arbitration Between Name of Claimants Ell & Ronit Razinovskv Name of Respondents -Smith Barney Shearson. Inc. Koby Arinus NASD Case No. ^.^-05338 REPRESENTATION ForEli Razinovsky and Ronit Razinovsky ("claimants") appeared Mark Hubal, Esq. of Levene Gouldine & Thompson, Binghamton, New York. ' * For respondents Smidi Barney Shearson, Inc. ("Smith Bamey") and

NASD Regulation, Inc. Award NASD Regulation, Inc., Award In the Matter of Arbitration Between Charles R. Cadey Claimant, and No. 97-04144 Dickinson & Co., Brian E. Smith, William J. Hawkins and Robert R. Romero Respondents, Representation of Parties Claimant Charles Cadey ("Cadey") was represented by William B. Shelton, Esquire of Looper, Reed, Mark & McGraw, located in Dallas, Texas. Respondent Dickinson & Co. ("Dickinson") did not

-J N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04140 Marsha and Gary Kosseff, claimants vs. Dean Witter Reynolds, Inc., respondent. ATTORNEYS: Claimants appeared Pro Se, Merrick, NY. For Respondent appeared in-house counsel, Stephen T. Paine, Esq., New York, NY. DATE FILED: August 22, 1997. CASE SUMMARY: Claimant alleged that respondent did not inform him that syndicate trading in two separate a