Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Josephine A. Kerr, (Claimant) vs. GKN Securities Corporation and Ben Dembin, (Respondent). Case Number: 97-06056 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Josephine A. Kerr, hereinafter referred to as "Claimant": William S. Shepherd, Esq., William S. Shepherd & Associates, Houston, Texas. Respondents, GKN Securities Corporation and Ben Dembin, hereinafter collec

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Kay A. Mills and 97-06055 Name of Respondent Vincent Greico Rauscher Pierce Refsnes, Inc. n/k/a Dain Rauscher, Inc. REPRESENTATION OF PARTIES Kay A. Mills ("Claimant") was represented by C. William Brownfield, Esq., C. William Brownfield & Associates, Columbus, Ohio. Vincent Greico ("Respondent Greico") was represented by Steven A. Samide, Esq., Mintz & Gol

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Donald J. Tipper 97-06054 Names of Respondents J.W. Barclay & Co.,Inc. Dexter Cube REPRESENTATION For Claimant Donald J. Tipper ("Claimant") appeared Brian Guillorn, Esq. of the Law Offices of Kathy H. Rocklen, P.C., located in New York, New York. For Respondents J.W. Barclay & Co., Inc. ("Barclay & Co.") and Dexter Cube ("Cube") (referred to collec

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Stockwalk.com, Incorporated and 01-01742 St. Paul, Minnesota Name of Respondents Brett R. Hanson & Cindy L. Hanson Imprint Technologies, L.L.C. REPRESENTATION OF PARTIES Stockwalk.com, Incorporated ("Claimant") was represented by F. Chet Taylor, Esq., Miller Johnson Steichen Kinnard, Minneapolis, Minnesota. Brett R. Hanson & Cindy L. Hanson

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between William C. and Marjorie D. Olander Case No. 00-00758 Narne Dean Witter Reynolds Inc.; Jeffrey Lynn Davis; and Joseph Brian Shortt pFPRFSFNTftTIO]\f Claimants William C. and Marjorie D. Olander ("Olander") were represented by Harvey B. Morris, Esq., and Joe King, Esq., of the firm of Morris, Conchin, Banks & Cooper, located in Huntsville, Alabama. Respondents

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dean Witter Reynolds Inc., (Claimant) vs. Anthony J. Lobello, (Respondent) Case Number: 00-00087 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Dean Witter Reynolds Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq. and Ronald P, Kane, Esq., Kane & Fischer, Ltd., Chicago, IL. Respondent Anthony J. Lobello, hereinafter referred to as "Respo

NASD REGULATION, INC. AWARD In the Matter of .the Arbitration Between Name of Claimants •Qlga Bezprozvannaya and Sofia Shevel, JTWROS vs. Case No. 97-06053 Name of Respondents Robert Thomas Securities, Inc. Timur Yakhin Barren Chase Securities . Dean Vernoia REPRESENTATION For Claimants Olga Bezprozvannaya ("Bezprozvannaya") and Sofia Shevel ("Shevel") (collectively "Claimants") appeared Aviva Kriss Stark, Esq., of the firm Kriss

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-06049 Robert Gedulig (IND & IRA), claimant vs. Dov Perlysky and D.H. Blair & Co., Inc., respondents. ATTORNEYS: Claimant appeared Pro Se. - Port Jeff Station, NY. For respondents appeared Robert L. Herskovits, Esq. - New York, NY. DATE FILED: 12/30/97 CASE SUMMARY: Claimant alleged unsuitability and breach of fiduciary duty. Claim Data Award Data C

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of an Arbitration between: Chris & Maryse Peers, NASD Arbitration No. 97-06047 Claimants, v. Sauceda & Granville Securities, Inc., Benito Sauceda, 111, James B. Hancock, Peter J. Matera, Jr., Hristoforatos Kyriakis, Raymond O. Daniels, Stephen P. Boruchin and Martha W. Granville, Respondents. REPRESENTATION OF PARTIES Claimants Chris J. Peers and Maryse Peers were

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Joseph Genovese vs. Case No. 97-06044 Name of Respondents Investors Associates, Inc. Lawrence J. Penna Herman Epstein Troy V. Wren Torin G. Greenspan REPRESENTATION For Claimant Joseph Genovese ("Claimant") appeared Joseph P. Carmichael, Esq., with law offices in Salem, Massachusetts. Respondent Investors Associates, Inc. ("Investors Ass