N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05202 Casey Karry, claimant vs. Bishop Allen, Inc. and Elie Mellul, respondents. ATTORNEYS: Claimant appeared Pro Se - New York, NY. Respondents appeared Pro Se, through their President Elie Mellul - New York, NY. DATE FILED: November 21, 1996 CASE SUMMARY: Claimant alleged that respondents failed to pay commissions/bonus according to the terms of the empl

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Raymond M, Weinstein 96-05198 Name of Respondents Josephthal Lyon & Ross, Inc. Michael Magno Dennis W. Burke REPRESENTATION For Claimant Raymond M. Weinstein ("Claimant"), Steven Kapustin, Esq. of counsel to the law fitm of Bland & Arndt, L.L.P., located in Columbia, South Carolina For Respondents Josephthal Lyon & Ross, Inc. (

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Lloyd F. and Patsy Wood 96-05196 Name of Respondents Sovereign Equity Management Peter V. Palmeri Vincent Albanese Jeffrey Adam Lefkowitz REPRESENTATION Claimants Lloyd F. and Patsy Wood ("Claimants") were represented by David B. Franzen, Esq., Fell, Pettit & Williams, Charlottesville, VA.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05195 Olde Discount Corporation, claimant vs. William Bolton, respondent. ATTORNEYS: For Claimant appeared in-house counsel Robert S. Anderson, Esq., Detroit, MI. Respondent appeared Pro Se, Staten Island, NY. DATE FILED: November 21, 1996 CASE SUMMARY: Claimant alleged that respondent failed to pay for executed stock purchase orders which resulted in a de

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05193 Roy L. & Joan V. Dudman, claimants v. Bryan D. Kingshiil and Merrill Lynch, Pierce, Fenner & Smith, Inc., respondents. ATTORNEYS: For Claimant Claimants appeared Pro Se - Luling, TX For Respondents appeared Mark S. Ryan, Esq. - New York, NY DATE FILED: November 21, 1996. CASE SUMMARY: Claimant alleged misrepresentation and unsuitability in the sa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf tfrff riairnant Pa< ;p Nnmh^r: 01-02235 Nancy Hughes nf thf Respondent'; Hearing Sljtp- Philadelphia, PA Joseph A. Papa First Union Securities, Inc. PAPTTFS Claimant, Nancy Hughes ("Hughes"), hereinafter referred to as "Claimant": Jeffrey N. Kale, Esq., Law Offices of Jeffery N. Kale, Cherry Hill, NJ. Respondents, Joseph A. Papa ("Papa") and First Union Securities, Inc

AWARD NASD Regulation, Incorporated Office of Dispute Resolution In the Matter of Arbitration Between Andrew Zuhl and Eloise Zuhl, Claimants, and No. 96-05191 Smith Barney Inc., John Lohrenz, and Carrie B. Morich, Respondents. REPRESENTATION OF PARTIES Claimants, Andrew Zuhl and Eloise Zuhl (hereinafter collectively referred to as "Claimants?), were represented by Paul J. Roshka, Jr., Esquire of Roshka Heyman & DeWulf, located to ^hoeriix, •*

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Wa-Il S. Dahir v. Arbitration No. 96-05190 Name of Respondents Citicorp Investment Services, Inc. and Frank Anthony Consalo HI REPRESENTATION For Claimant: William F. Davis, Esq. Pacific Palisades, California For Respondents: W. Douglas Kari, Esq. Douglas E. Love, Esq. Orrick, Henington & Sutcliffe LLP Los Angel

AWARD NASD Regulation, Incorporated Office of Dispute Resolution In the Matter of Arbitration Between Ann Brewster, Claimant, and No, 96-05188 J.W. Charles Securities, Inc., J.W. Charles Clearing Corp., The Machaira Group, Inc., and Guy W. Courtney, Respondents. REPRESENTATION OF PARTIES For claimant: Arm Brewster ("Brewster") was represented by Howard B. Prossnixz, Es'qv of Law- Offices of Howard Prossrurz, located in Chicago, Illinois. Vi!

AWARD NASD Regulation. Inc. Office of. Dispute Resolution In the Matter of the Arbitration Between J.W. Korth & Company, a Michigan and Florida Limited Partnership, Claimant. v. No. 96-05184 The Chicago Corporation, a Delaware Corporation, and Jeffrey P. Novak, an individual. Respondents. i - REPRESENTATION OF PARTIES Claimant J.W. Korth & Company ("Claimant" or "J.W. Korth") was represented by>Sv:1hbmas - • >* Wienner: Esq. and