Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Bernadette S. Heyer, Claimant, v. Texas Capital Securities, Kenneth B. Karpf, Mike McGinnis and Thomas Buckley, Respondents. Case Number: 98-02625 Hearing Site: St. Louis, Missouri REPRESENTATION OF PARTIES Claimant, Bernadette S. Heyer ("Claimant") was represented by Keith G. Liberman, Esq., Clayton, Missouri. Respondents, Texas Capital Securities ("TCS"), Mike McGinnis ("McGinni

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Natalie Rosen 96-02995 Name of Respondents Barren Chase Securities, Inc. Brian Krogstad Marc Gast Standford Williams CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on July 12, 1996, claimant Natalie Rosen ("claimant"), who appeared Pro Se, alleged that respon

NASD REGULATION. INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Robert D. O'Brian 96-03917 Name i pf Respondents John Bruzzese Monitor Investment Group Inc. REPRESENTATION Claimant, Robert D. O'Brian, Esq. appeared pro se. For Respondent, John Bruzzese ("Bruzzese") appeared, Darren Lampert, Esq. of the law firm Lampert & Lampert located in New York, New York. Respondent, Monitor Inv

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Max and Roslyn Lichtman Max Lichtman IRA Roslyn Lichtman IRA Roslyn Lichtman, Custodian 96-03966 Name of Respondents Dean Witter Reynolds Inc. Bonnie Newman REPRESENTATION For claimants Max and Roslyn Lichtman ("claimants") appeared their representative Walter D'Ull, Esq. a sole practiti

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Anthony Mallilo 96-04310 Name of Respondents Landmark International Equities Craig S. Redding Eric J. Aronson William Nunziato REPRESENTATION For Claimant Anthony Mallilo ("Claimant") appeared Jeffrey M. Blum, Esq., of the law offices Mallilo & Grossman located in Flushing, New York. For Respondents Landmark International Equities ("Landmark") a

AWARD- NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Invest Financial Corporation, Claimant, and No. 96-05177 Frank Clement, Jr., Respondent. REPRESENTATION OF PARTIES Claimant Invest Financial Corporation ("Claimant") was represented by Craig W. Horn, Esq. of Braun Kendrick Finkbeiner P.L.C. located in Saginaw, Michigan. Respondent Frank Clement, Jr. ("Respondent") did not appear in this matter

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name_of Claimant Jerrold Grccu v - Arbitration No. 96-05509 Name of Respondents Charles Schwab & Co.. Inc.. John Yoshitakc. Diane Song, and Cecilia Corral REPRESENTATION For Claimant: Jerrold Grccu In Pro Per Manhattan Beach, California For Respondents. Thomas E. Hill. Hsq. Thelen. Morrin. Johnson & Bridges. LLP Los

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Zakaria Suid 96-05682 Names of Respondents First Hanover Securities, Inc. Societe Generale Securities Corp. Name of Third-Party Respondent Joseph Ballard REPRESENTATION For Claimant Zakaria Suid ("Suid"): Andrew L. Capdeville, Esq. of Andrew L. Capdeville, P.C., St. " Thomas, U.S. Virgin Islands. Fo

Award COPY NASD Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Investments, LLC, Claimant v. Marty M. Martinez, Respondent Marty M. Martinez, Counter-Claimant v. Wells Fargo Investments, LLC, Counter- Respondent Marty M. Martinez, Third Party Claimant v. James B. Coon, Third Party Respondent Case Number: 05-03326 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Member v. Associated Person Nature of the Dispute: Associ

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeanne A. Lufrano, and Joan Marchant as Trustee for the John J. Lufrano Unified Credit Trust (Claimants) vs. Kirlin Securities inc. and Edward P. Deicke (Respondents) Case Number: 05-03318 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Jeanne A. Lufrano ("J. Lufrano"), and Joan Marchan