AWARD NASD Regulation, Inc. Office of Dispute Resolution IN THE MATTER OF ARBITRATION BETWEEN PRUDENTIAL SECURITIES INCORPORATED, Claimant No. 96-01848 v. DANIEL J. RETZINGER Respondent REPRESENTATION OF PARTIES Claimant Prudential Securities Incorporated ("Prudential") was represented by Michael A. Kraft, Esq., Gomberg Kane & Fischer, Ltd., 208 South LaSalle Street, Suite 1800, Chicago, Illinois 60604. Respondent Daniel J. Retzinger ("R

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ronald Broadstone 96-01844 Name of Respondent The Ohio Company REPRESENTATION For claimant Ronald Broadstone ("claimant") appeared H. Ritchey Hotlenbaugh, Esq., of the law firm of Draper, Hollenbaugh & Broscoe Co., L.P.A., locate in Columbus, Ohio. For respondent The Ohio Company ("respondent") appeared Marion H. Little, Jr., E

N.A.S.D. AWARD f NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Frank and Pat Ferraro 96-01843 Name of Respondents Summit Financial Securities, Inc. Jerry Wolf Summit Financial Strategies, Inc. REPRESENTATION For Claimants Frank and Pat Ferraro ("Claimants") appeared David G. Cohen, Esq. located in Buffalo, New York. For Respondents Summit Financial Securities, Inc. ("Summit"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-02052 William R. and Marion Eggers William R. Eggers IRA Names of the Respondents Hearing Site: Tampa, Florida Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds, Inc. Daniel Ruffier William R. and Marion Eggers (the "Claimant Eggers"), and William R. Eggers IRA (the "Claimant Eggers IRA"), hereinafter collectively referred to as th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph M. Marinelli 96-01842 Name of Respondent Pentad Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 7, 1996, claimant Joseph M. Marinelli ("claimant"), who appeared Pro Se, alleged the respondent Pentad Securities, Inc. ("respondent") failed to repay a loan he m

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mary Ellen Bums Family Trust 96-01840 Name of Respondent Merrill, Lynch, Pierce, Fenner & Smith, Inc. Charles C. Manner Tosh Mclntosh CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on April 26, 1996, the Mary Ellen Burns Family Trust ("Claimant"), through its trustee Mary El

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Jeffrey Cohen 96-01839 Name of Respondents Dean Witter Reynolds Inc. Darlene J. Palmer REPRESENTATION Claimant Jeffrey Cohen ("claimant") appeared pro se. For respondents Dean Witter Reynolds, Inc. ("Dean Witter") and Darlene J. Palmer ("Palmer") appeared Annemarie P. McAvoy, Esq., Vice President and Senior Attorney for Dean Witter Reynolds, Inc. located in N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert M. Brent 96-01838 Name of Respondents Monica Plocki Capital Securities of America, Inc. * CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 29, 1996, Claimant Robert M. Brent ("Claimant 11 ), who appeared Pro Se, alleged that Respondents Monica Plocki ("Plock

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Hans H. Ammann 96-01837 Name of Respondents M. Rimson & Co. Inc. Emmett A. Larkin Company, Inc. Ed Veisman Moshe Rimson Alex D. Shmdman For Claimant Hans H, Ammann ("Claimant") appeared Jordon W. Siev, Esq., of Anderson, Kill, Olick, & Oshinsky, P,C. located in New York. Respondent M. Rimson & Co., Inc. ("Rimson & Co

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants Robert A. Goldman Barbara Goldman 96-01836 Name of Respondent Equitable Life Assurance Society of U.S. REPRESENTATION For Claimants Robert A. Goldman ("Goldman") and Barbara Goldman (collectively referred to as "Claimants") appeared Neal Brickman, Esq., a private practitioner with offices located in New York, New York. For Respondent Equitable Life As