N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Robert M. Flora 94-01242 Name of Respondent^) Barrett Day Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 5, 1994, Claimant Robert M. Flora, who appeared Pro Se, alleged that Respondent Barren Day Securities, Inc., through its representatives, was using harass

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClannantfs) Scot T. Martin 94-01241 Name of Respondent(s> Smith Barney Shearson, Inc. n/k/a Smith Barney Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 5, 1994 Claimant Scot T. Martin, who appeared Pro Se, alleged that Respondent Smith Barney Shearson Inc., n/k/a Smith Barney IK.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NanjeofCIaimant Dorothy Hollensteiner James Hollensteiner - Power of Attorney 94-00892 Piper Jaffray Inc. William J. Burger CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 9, 1994, Claimant Dorothy Hollensteiner, through her representative, James Hollensteiner, who held a power of attorney ov

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02964 William Kenneth Bonds, claimant vs. Von Feldt & Associates and DeWayne Von Feldt, respondents. ATTORNEYS: Claimant appeared pro se, Oklahoma City, OK. For Respondents appeared DeWayne Von Feldt, President of Von Feldt & Associatesjnc., Oklahoma City, OK. DATE FILED: June 5, 2001 CASE SUMMARY: Claimant alleged that respondent failed to pay him commissions and salary ow

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between frjfame Q f Claimant Dominick Perrone 94-00891 Name of Resppnftent Warren S. Green R.B. Webster Investments, Inc. CASE SUMjfriARY In a claim filed with the National Association of Securities Dealers, Inc. on April 21, 1994, Claimant Dominick Perrone, who appeared Pro Se, alleged that Respondent Warren S. Green ("Green"), an account represen

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 94-00890 LIK Securities n/k/a Lumiere Securities, claimant v. Linda Marie Nesheim-Maxwell, respondent. ATTORNEYS: For Claimant appeared Lawrence Kravetz - Englewood, CO. For Respondent appeared Richard C. Downing, Esq. - Little Rock, AR. DATE FILED: 3/8/94 CASE SUMMARY: Claimant alleged that the respondent, a former employee, owes money and that responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS % In the Matter of the Arbitration Between Name of Claimants Joseph F. Smiley & Gerda U. Smiley.TTEE 94-00887 Name of Respondents ETRADE Securities, Inc. Reynolds Kendrick Strarton, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 8, 1994, Claimants Joseph F. and Gerda U. Smiley, TTEE, who appeared Pro Se, alleged that Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Harry Goldstein 94-00886 Name of Respondent Alfredo Ramirez, III CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 8, 1994 Claimant Harry Goldstein ("Claimant"), who appeared Pro Se, alleged that Respondent Alfredo Ramirez, III ("Respondent") of Dickinson & Co., Inc., made misrepre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Benjamin P. Light and Carolyn W. Light 94-00885 Name of Respondents Dean Witter Reynolds, Inc. Mace Mavroleon CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 8, 1994, \ Claimants Benjamin P. and Carolyn W. Light, through their representative, Barry Alper of Securities Arbitr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of C Dean Witter Reynolds, Inc. Case No. 94-00882 Name of Respondent David Weinreb For Claimant, Dean Witter Reynolds, Inc.: Anne W. Tennant, Esq., Steel Hector & Davis, West Palm Beach, Florida. Respondent David Weinreb was pro se. CASE INFORMATION Statement of Claim filed: March 4,1994 and Amended Complaint filed: October 19,