N.A.S.D. AWARD NATIONAI. ASSOCIATION OF SECURITIES DEAIXRS In the Matter of the Arbitration Between MaiPffpfClajqwai Roberta II. Boone 94-03140 Prudemial Securities Incorporated; Kathy Ann Stiber REPRESENTATION For Claunant: Roberta H. Boone ("Boone") was represented by Joel H. Pullen, Esq. of the I^w Offices of Joel H. Pullen, located in San Amonio, Texas. For Respondents: Prudential Securities Incorporated ("Prudential") and Kathy Ann Stib

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between NameofClaimam(s^ Gene and Marlene Braswell 94-03133 NameofResDondent/g) Steven N Bronson REPRESENTATION For Claimants, Gene and Marlene BrasweU("BrasweU"): Joseph Murasko. Esq., West Pahn Beach, FL. For Respondent, Steven R. Bronson("Bronson"): Eric P. Littman, Esq., Miami, FL. CASE INFORMATION Statemem of Claim fded: August 9. 1994

N.A.S.D. AWARD NATIONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of the ArUtration Between Name of Claimant Michele Gordon 94-03125 Name of Respondents Oppenheimer A Co., Inc. Jeffrey K. Singer CA?E?VMP^^Y In a claim filed with the National Association of Securities Dealers, Inc. on August 8, 1994, Claimant Michele Gordon, through her representative, Carol Dubow, Esq., of Investors Arbitration Services, Inc., Woodland Hills, CA, a

N.A.S.D. AWARD NA'nONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Haaiff gf glaimMtB Uidwig Wolf, Jr. 94-03124 Name of Respondents Smith Bamey Sheanon, Inc. n/k/a Smith Bamey, Inc. JoeMolinaii TimMatula CASESVMMAKY In a claim filed with the National Associatioii of Secanties Dealers, Inc. on August 8, 1994, Claimant Ludwig Wolf, Jr., who appealed Pro So, alleged that Respondents Smith Bamey Shears

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter ofthe Arbitration Between Theodore Grassi and NASD Case Number 94-02760 The Pnidendal Insurance Company of America RKPRESKNTATTON OF PARTIES Claimant, Theodore Grassi was represented by Ralph Simon, Esq., Sole Practitioner, located in Tulsa, Oklahoma. Respondent, Prudential Insurance Company of America was represented by Timothy Carney, Esq. of Gable A Gotwals located in T

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimanl Peter T. Cooper 94-02757 Name of Respondent KiddcT, Peabody & Co.. Incorporated REPRESENTATION For (laimant Peter T. Cooper: Richard Menaker, Esq., ofthe law firm of Menafcer & Herrmann, New York. NY. For Respondent Kidder, Peabody A Co., Inc.: Sheila A. Chervin. Esq.. in-house counsel. CASE INFORMATION Suitement of Cla

N.A.S.D. AWARD In die Matter of the Arbitration Between James A. Brent & Fredericka Brent 94-02756 ^amggfRggpgndffnis First of Michigan Coiporation: Michael Richard Sobol REPRESFNTATION For Claimants: James A. Brent and Fredericka Brent ("Brent") were represented by C. Nicholas Revelos, Esq. of Crosse Pointe Farms. Michigan. For Respondents: First of Michigan Corporation ("FMC") and Michael Richard Sobol ("Sobol") were represented by Michael

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-05779 Hisham Elsherbini, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Carrollton, TX. For Respondent appeared Colleen Wink,Compliance Analyst, Rancho Cordova, CA. DATE FILED: October 29, 2001 CASE SUMMARY: Claimant alleged that respondent misinformed him regarding margin calls on his account. Claimant maintained that due to respondent's ac

N.A.S.D. AWARD NA'nONAL ASSOOATION OF SECURITIES DEALERS In the Matter of che Arbitration Between Louise Shepard Loud, et al. vs. Award It 94-02899 Prudential Securities Inc REPRESENTATION For Claimant. Louise S. Loud ("Claimant"). Kevin P. Sweeney, Esq. from the law firm of Cuddy Bixby, located in Boston, Massachusetts. For Respondent. Pnideniial Securities, Inc. ("Respondent") David A. Bums. Esq., in-housc counsel, located in New York.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLIUTIES DEALERS In the Maner of the Arbitration Between Name of Claimant Gregory Edmiindt Hess vs. 94-02882 Name of Respondents Suppes Securities Inc.. Michelle Suppes and Mark Anthony REPRESENTATION For Claimanc, Gregory E. Hess ("Claimant"). Edward G. Werner, Esq. from the law firm of Kalmus A MarmsceMo locoEed in New York City. For Respondent. Suppes Securities. Inc.. Mark Anthony and Michelle Sup