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99-03169-Award-NASD-20000324.pdf

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03169 Lloyd Munjack, claimant vs. DLJ Direct, respondent. ATTORNEYS; Claimant Lloyd Munjack ("Claimant"), appeared Pro Se., Warwick, New York. For Respondent DLJ Direct ("Respondent"), David J. Cambell, Esq., Senior Vice President and Assistant General Counsel, Jersey City, New Jersey. DATE FILED: 7/12/1999 CASE SUMMARY: Claimant maintained that on April 1

92-01294-Award-NASD-19930607.pdf

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Samuel Kaufman 92-01294 Name of Respondent Steven J. Miieo * REPRESENTATION For Claimant, Samuel Kaufman ("Kaufman"): Michael R. Casey, Esq. of Casey and Molchan. For Respondent, Steven J. Mileo ("Mileo"): Alfred A. LaSoite, Esq. CASE INFORMATION Statement of Claim filed on April 14, 1992. Claimant's Submission Agreemen

92-01290-Award-NASD-19930621.pdf

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Walter J. Morrison & Mary D. Morrison 92-01290 Name of Respondents Prudential Securities Inc Josef A. Stark REPRESENTATION For Claimants: Mitchell H. Cobert, Esq. For Respondent. Prudential Securities, Inc.: Marc S. Dob in, Esq., of Prudential Securities. Inc. For Respondent. Josef A. Stark: Josef A. Stark appearing pro se

92-01285-Award-NASD-19930629.pdf

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Martha C. Kennedy 92-01285 Name of Respondents PaineWebber, Inc. Jack Holdstein REPRESENTATION For Claimant, Martha C. Kennedy ("Kennedy"): Robert I. Gill, Esq. of Isphording Korp Payne. For Respondents, PaineWebber, Inc. ("P.W.") and Jack Holdstein ("Holdstein"): Steven M. Greenbaum, Esq. of PaineWebber, Inc. CASE

92-01271-Award-NASD-19930908.pdf

N.A.S.D. AWARD NATIONAL ASSOOATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name o Maria de Jesus H. Navar and 92-01271 Name ftf 1! Merrill Lynch, Pierce Feoaer & Smith, Inc. and Jerome J. Hammann REPRESENT ATIQN OF Maria de Jesus E. Navar ("Claimant") was represented by T.O. Gfltttap, Jr., Esq. El Puo, Texas. Meniil Lyacn, Pierce Fenner A Smith, lac. ("MartiU") waa iijHMnaui by Joseph L. Hood* Jr., Esq. o

92-01265-Award-NASD-19931123.pdf

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John F. Schulte dba John F. Schulte Inc. 924)1265 Name of Respondents Martin R. Frankel Thomas F. White Sonia D. Schulte Thomas F. White & Co. Inc. REPRF^iKNTATION Claimant John F. Schulte dba John F. Schulte Inc. ("Claimant") represented himself. For Respondents Martin R. Frankel ("Frankel") and Sonia D. Schult

92-01262-Award-NASD-19921125.pdf

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Steven G. Kashian vs. Robert Todd Financial Corp. Steven Cloyes Respondents Claimant CASE #92-01262 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on April 10, 1992, Claimant Steven G. Kashian, who appeared Pro Se, alleged that in November 1991 he started to work as a registered represent

92-01259-Award-NASD-19921130.pdf

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In Che Matter of the Arbitration Between Wgjflg of cia.imantB/CountieTT'eapQndentra Mark Schneider Frank DiMaria Rosenthal Collins Group No. 92-01259 ^ Shearson Lehman Brothers, Inc. For Claimants/Counterrespondents: Kenneth F. Berg, Esq. of Fishman & Merrick, P.C., Chicago, Illinois. For Respondent/Coxinterclaimant: Thomas M. Knepper, Esq. of Neal Gerber & Eisenberg, Chicago,

92-01258-Award-NASD-19930611.pdf

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Theodore C. Hadgis Theodore C. Hadgis DDS PC Theodore C. Hadgis Employee Pension Trus Theodore C. Hadgis Profit Sharing Trust 92-01258 Name of Respondents Dean Witter Reynolds Inc. Philip Sloan For Claimant: Anthony V.Trogan, Esq. of Weisman, Trogan, Young & Scnloss, P.C. For Respondent: Mark R. Werder, Esq. and Steven

92-01257-Award-NASD-19951130.pdf

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Shiue - Tsz Huang NASD Arbitration No. 92-01257 Name of Respondents U.S. Pacific Financial Services, Inc. and Lishing Hsu REPRESENTATION For Claimant: Grace Lin, Esq. Alhambra, California For Respondent: Gregory Sherwin, Esq., Fields, Fehn & Sherwin Los Angeles, California CASE INFORMATION Statement of Cla