NASD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS !n the Matter of the Arbitration Between Name of Claimants Allan and Gloria Silverstein 95-03762 Name of Respondents Gruntal & Co., inc. Daniel C. BaJestra CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 3, 1995, Claimants Allan and Gloria Silverstein ("Claimants"), who appeared Pro Se, alleged that Respondent GruntaJ & Co.„ Inc., thr

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Name of Claimant Victor Dobrin and NASD Case Number: 95-03760 Olde Discount Corporation Mark S Katzman Russell G. Miller Steven R. Ross REPRESENTATION OF PARTIES Claimant Victor Dobrin ("Claimant") was represented by Laurence S. Schultz, Esq. of Driggers, Schultz, Herbst & Paterson located in Troy, Michigan. Respondents Olde Discount C

N.A.S-D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between © National Association of Securities Dealer::, inc. Name of Claimant Michael D. Roscnheck All Rights Reserved NASD Arbitration No.9503748 Name of Respondents Paine Webber Incorporated. Barry Harberson, Bonnie Freer and Mark Taylor, REPRESENTATION For Claimant: Claimant appeared in pro per. For Respondents: David G. Freedman, Esq., Jac

NASD Regulation, Inc. AWARD NASD REGULATION, INC. [n the Matter of the Arbitration Between Name .of Claimants Raymond C. Lemire & Management Realty Co NASD Case No. 95-03747 Name of Respinidents Stratton Oakmom, inc. Daniel Porush Paul F. Byrne Patrick McDonnell RCTRESENTATIQN For Claimants Raymond Lemire ("Lemire") and Management Realty Corporation ("Management") appeared Bret D. Clifford, Esq. of Devine, Millime and Branch, Man

AWARD NASD REGULATION, INC. 5n the Matter of the Arbitration Between Name of Claimants Patricia Horigan as Custodian Patricia Horigan Award No. vs. 95-03746 Name of Respondents Smith Barney Shearson, Inc. Mark Perron REPRESENTATION For Claimant, Patricia Horigan, initiated this proceeding individually and as custodian on behalf of Jacqueline, Stephanie, and Christopher Horigan (collectively "Claimants"), appeared Phillip Giordano,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Marc W. Vraciu NASD Arbitration No. 95-03743 Name of Respondents and Third-Party Claimants John H. Dakin Dakin Securities, Inc. Name of Third-Party Respondent Allan G. Bortel REPRESENTATION For Claimant: Gail J. Saliterman, Esq., Chandler, Wood, Harrington & Maffly, San Francisco, California For Respondent

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Steven J. Thurn-Favilla and Julie A. Thurn-Favilla and 01-01928 Minneapolis, Minnesota Name of Respondents First Union Securities, Inc. REPRESENTATION OF PARTIES Steven J. Thurn-Favilla and Julie A. Thurn-Favilla ("Claimants") were represented by Michael S. MacDonald, Esq., St. Paul, Minnesota. First Union Securities, Inc. ("Respondent") was rep

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Jack J. Grynberg and 95-03737 Name of Respondent Whale Securities Co., Inc. Wayne Coy REPRESENTATION OF PARTIES Jack J. Grynberg ("Claimant") was represented by Jeff Reiman, Esq. and Jeffrey M. Brenman, Esq., Reiman & Associates, P.C., Denver, Colorado. Whale Securities Co., Inc. ("Respondent Whale") was represented by Da

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between N a me o rjC t a i m a n t Marjoritj Rosenthal Niune_ofJies pon de n t.s ("ovven & Company Michael Tohin. Jr. Allan Iselin 95-03736 REPRESENTATION For Claimant, Marjorie Rosenthal, appeared Richard B. Cohen, Esq., of the law firm Akabas & Cohen located in New York, New York. For Respondents, Cowen & Company ("Cowen''), Michael T

NASD REGULATION, INC AWARD NASD REGULATION, INC, In the Matter of the Arbitration Between Name of Claimants J. Mathis and Lois R. Brown Douglas A. and Elizabeth B, Goodenough 95-03735 Name of Respondents Raymond, James & Associates, Inc. Investment Management & Research, Inc. William Kean & Associates, Inc. William M. Kean REPRESENTATION For Claimants, J. Mathis and Lois Brown and Douglas A. and Elizabeth Goodenough (cbBectiveiy' ^--