N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Warren and Johanne Rednor 94-01165 Name of Respondent Dean Witter Reynolds, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 29, 1994, Claimants Warren and Johanne Rednor, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. misrepresented the date on whic

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edward & Helene Vorndran 94-01164 Name of Respondent M. Rimson & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 29, 1994, Claimants Edward and Helene Vorndran, who appeared Pro Se, alleged that Respondent M. Rimson & Co., Inc. failed to inform them of an execution

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between < k Name of Claimant Martiel C. Ross 94-01161 NajneofResDondente Olde Discount Corporation Murray Carter CASE SUMMARY In a claim filed with the Matronal Association of Securities Dealers, Inc. on March 28, 1994, Claimant Martiel C. Ross, who appeared Pro Se, alleged that Respondent Olde Discount Corporation ("Olde"), through its agent, M

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sam Tang 94-01159 Name of Respondent Waterhouse Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 28, 1994, Claimant Sam Tang, who appeared Pro Se, alleged that Respondent Waterhouse Securities, Inc., through its representatives, executed a duplicate sell trade of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph Olivieri 94-01151 Name of Respondents Michael C. Cardascia Burnett Grey & Co., Inc. Emmet A. Larltin Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 28, 1994, Claimant Joseph Olivieri, who appeared Pro Se, alleged that Respondent Burnett Grey & Co., I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roman Novosiadlyi, (Claimant) vs. Glenn Michael Financial, Inc., (Respondent) Case Number: 01-03000 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Roman Novosiadlyi, hereinafter referred to as "Claimant", appeared pro se. Respondent, Glenn Michael Financial, Inc., hereinafter referred to as "Respondent": Francine A. Lanaia, Vice President, Glenn Michael Financi

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Philip J. Shurger, Sr. and 00-00932 Indianapolis, Indiana Name of Respondents Lloyd Wade Securities Inc. David Lloyd Rutkoske Michael Arthur Niebuhr Anthony A. Bisceglie Barron Chase Securities Ralph Ewing REPRESENTATION OF PARTIES Philip J. Shurger, Sr. ("Claimant") was represented by G. Martin Cole, Esq., Rothberg & Logan, Fort

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NaxneofClaimantCs) Triad Securities Corp. 94-01150 NameofResDondentfs} Joel Krinsky d/b/a J & J Group CASE In a claim filed with the National Association of Securities Dealers, Inc. on March 24, 1994, Claimant Triad Securities Corporation, through its counsel, Elizabeth Colontonio, Esq. of Gusrae, Kaplan &. Bruno, New York, NY, alleged that Res

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Helen Hann Claimant, v. No. 94-01145 Dreher & Associates, and Randy DePoister, Respondents. REPRESENTATION OF PARTIES? For Claimant: Helen Hann ("Hann") was represented by Aron D. Robinson, Esquire, of Holstein Mack & Klein, located in Chicago, Illinois. For Respondents: Dreher & Associates ("Dreher") was represented by Thomas P. Ward, Esqui

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Rodman & Renshaw, Inc., Claimant and Counter-Respondent, and No. 94-01143 Steven A. Rothstein, Respondent and Counter-Claimant. REPRESENTATION OF PARTIES For Claimant and Counter-Respondent: Rodman & Renshaw, Inc. ("Rodman") was represented by J. Patrick Herald, Esq. of Baker & McKenzie, located in Chicago, Illinois. For Respondent and Counter-Claim