AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between . - •-•••• Matias K. Bonnier, and Bonnier Motorsports, Inc., Claimants, v. Merrill Lynch, Pierce, No. 96-04983 Fenner & Smith, Inc., Leonard E. DeStefano, Patrick Petsche, and Frank Bodi, Respondents. REPRESENTATION OF PARTIES Claimants Matias K. Bonnier ("Bonnier") and Bonnier Motorsports, Inc.(jointly referred to as "Claimants") were represented by James F

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Louis D. Giacalone 96-04980 Names of Respondents Greenway Capital Corporation Guiseppe Temporino Jason Anthony Prussing REPRESENTATION For Claimant Louis D. Giacalone ("Claimant") appeared John J. Lynch, Esq., a private practitioner with offices located in New York, New York. Respondent Greenway Capital Corporation ("Greenway") did not enter an appe

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds Inc. 96-04978 Name of Respondents Legg Mason Wood Walker, Inc. Peter V. Caruso Robert M. Cotter Michael S. Kelleher Mark G. Cote REPRESENTATION For Claimant Dean Witter Reynolds ("Claimant" or "Dean Witter") appeared Pete S. Michaels, Esq. and Neal F. Splaine, Esq. of the firm Murphy, MacKenzie, Michaels & Sullivan, LLP, located i

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between 1 First of Michigan Corporation Claimant and Counter-Respondent, v. Case Number 96-04977 Securities America, Inc. Respondent and Counter-Claimant. REPRESENTATION OF PARTIES Claimant and Counter-Respondent First of Michigan Corporation ("Claimant" or "FOM") was represented by John A. Hubbard, Esq. of Alan R. Miller, P.C. located in Birmingham, Michig

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants John C. and Mary S. Tracy 96-04975 Name of Respondents A.G. Edwards & Sons, Inc. Jack Stapleton REPRESENTATION For Claimants John C. and Mary S. Tracy ("Claimants") appeared Joel S. Arogeti, Esq., of the law firm Kitchens KeHey Gaynes, PC, located in Atlanta, Georgia. * For Respondent A.G. Edwards & Sons, Inc. ("AGE") appea

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-04972 Kurt Markstein, claimant vs. Angeio Armenta, JaneAnn Knapp and The Boston Group, respondents. ATTORNEYS: Claimant appeared Pro Se For Respondents Eric S. Hutner, Esq., New York, NY DATE FILED: November 7, 1996 CASE SUMMARY: Claimant alleged breach of fiduciary duty and failure to supervise regarding his investment in Genta, Inc. stock. Cl

NASD REGULATION, INC. AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Michael Orlov and Yelena Kamenker-Orlov v. Arbitration No. 96-04970 Name of Respondents Finance 500, Inc. and John Hiers REPRESENTATION For Claimants: Michael Orlov Yelena Kamenker-Orlov In Pro Per Brookline, Massachusetts For Respondent John Hiers: John Hiers In Pro Per Corona, Califo

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Nico F. March v. Arbitration No. 96-04966 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. v. Name of Third Party Respondent Prudential Securities, Inc. REPRESENTATION For Claimant: Michael Blumenfeld Freeman, Freeman & Smiley, LLP Los Angeles, California For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc.: Terry

u-V AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Billy R. Thedford, Claimant, and No. 96-04965 State Street Securities, Bradley White and Bryan O*Leary, Respondents. Claimant, Billy R. Thedford, appeared pro se in these proceedings. ; ^-^-^ >vy For Respondents, State Street Securities and Bradley White, Bradley White of State Street Securities appeared pro se and appeared as the co

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of fl™ *"1 g " n iaT lt Page Number- 01-02208 John and Gloria Ehrler Jt p ' St. Louis, Missouri First Security Investments, Inc.; and Anthony W. Chen HF.fttF.Sy.fJT ATTON OF PARTIES Claimants John and Gloria Ehrler, hereinafter referred to as "Claimants": Steven W. Koslovsky, Esq. of the firm of Blumenfeld, Kaplan & Sandweiss, P.C., St. L