N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS (n the Matter of the Arbitration Between Name of Claimant Jeanne Claire McBride 96-02053 Name of Respondent Kurt Owen CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 13, 1996, Claimant Jean Claire McBride (hereinafter referred to as "Claimant"), who appeared Pro Se, alleged that based on the recommendation of a friend, she, a novice inves

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Christine Morrison Claimant, v. Case Number 96-02046 Craig Zvonar and JB Oxford & Co. Respondents. REPRESENTATION OF PARTIES Claimant Christine Morrison ("Claimant") appeared pro se. Respondents Craig Zvonar ("Zvonar 11 ) and JB Oxford & Co. ("JB Oxford") (collectively referred to as "Respondents") were represented by Jeffrey Kob, Esq. o

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Father Jerome G. Gerum and Verna Marie Miller, Claimants, and Peter D. Ziegler and Peter I Krause, Respondents. or APRS 8199? No. 96-02043 REPRESENTATION OF PARTIES Claimants Father Jerome G. Gerum ("Father Gerum") and Verna Marie Miller ("Miller") (collectively referred to as "Claimants") were represented at the hearing by Father Jerome

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Frederick Morton Woolley v, Name of Respondents Titan/Value Equities Group, Inc. NASD Regulation, Inc. Arbitration No. 96-02041 For Claimants: REPRESENTATION Sheldon M. Jaffe, Esq. Gartenberg, Jaffe, Geifand & Stein Los Angeles, California For Respondents: David W. Studley, Esq. Law Offices of David

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Donald P. Smith, Claimant and Counter-Respondent, v. Case Number 96-02040 Dean Witter Reynolds, Inc., Respondent and Counter-Claimant. REPRESENTATION OF PARTIES , Claimant and Counter-Respondent Donald P. Smith ("Claimant") was represented by L. Jerome Stanley, Esq. of L. Jerome Stanley, P.C. located in Baton Rouge, Louisiana. Respondent and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carl Schramm 96-02039 Name of Respondents .T G. Bradley Taylor Chatfield Dean & Co., Inc. Name of Third Party Respondent Sanford Earl Williams REPRESENTATION For Claimant: Stephen Murphy, Esq. of the law firm of Pino & Dicks, Longwood, FL. For Respondents Chatfield Dean & Co., Inc. ("Chatfield Dean") and G. Bradley

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Edward Robert Waite NASD Arbitration No.96-02033 v. Name of Respondents Glenfed Brokerage Services, Colonial Management Associates, Inc. and Van Katnpen American Capital Distributors, Inc. REPRESENTATION For Claimant: Paul Larson and Edward Robert Waite For Respondent Glenfed Brokerage Services: Joel Dwork, Esq. H

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Craig I. Hughes 96-02029 Name of Respondents Sanford C. Bernstein & Co. Inc. REPRESENTATION For Claimant, Craig I. Hughes ("Claimant"), appeared Daniel E. Katz, Esq. of the law firm of Pressman & Associates located in New York, New York. For Respondent, Sanford C. Bernstein & Co., Inc., ("Respondent"), appeared Carole O'Blenes. Esq. o

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02065 Jurgen Wagener, Claimant vs. Merrill Lynch Pierce Fenner & Smith, Respondent. ATTORNEYS: Claimant, Jurgen Wagener, ("Claimant"), appeared Pro Se., Kaarst, Germany For Respondent, Merrill Lynch Pierce Fenner & Smith, ("Respondent"), appeared in-house counsel, Yosef Sinensky, Esq., New York, NY. DATE FILED: April 24, 2001 CASE SUMMARY: Claimant alleged that Respondent acted neg

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Arnold Taft 96-02028 Name of Respondents Cantella & Co., Inc. Curt Stetson Harold Gong .J. Michaels & Co., LTD. Titan/Value Equities Group, Inc. Jonathan Alan & Co., Inc. Mitchel Feinglas REPRESENTATION Claimant Arnold Taft ("Claimant") appeared pro se. m< For Respondent Cantella & Co., Inc. ("Cantella") appe