AWARD NASD REGULATION INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. v. Name of Respondent Ronald S.Wenig Arbitration No. 96-01044 REPRESENTATION For Claimant: For Respondent: CASE INFORMATION Statement of Claim filed: Claimant's Submission Agreement signed: Answer to Counter-Claim filed by Claimant: Statement of Answer and Counter-Claim filed b

NASD REGULATION, INC. AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Steven and Alexandra Shiekman 96-01038 Name of Respondents Prudential Securities, Inc. Lehman Brothers, Inc. William J. Beaton, ffl REPRESENTATION For Claimants Steven and Alexandra Shiekman ("Claimants"): Scott L. Warfman, Esq. of Warfman and Bloom, P.A., Miami, Florida. For Respondent Prudential Securities, Inc. ("Prudential

N.A.S.D. AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Roland Carlson and Rosemary Carlson 96-01033 Name of Respondents Stratton Oakmont, Inc.; Irving Stitsky; Jordan Shamah REPRESENTATION For Claimants: Roland Carlson and Rosemary Carlson ("Carlson") were represented by Matthew D. Wayne, Esq. of Fishman & Merrick, P.C., located in Chicago, Illinois. For Responden

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. v. Name of Respondent John D. Williams, Jr. NASD Regulation, Inc. Arbitration No. 96-01029 For Claimant: REPRESENTATION Michael A. Kraft, Esq. Gomberg Kane & Fischer, Ltd. Chicago, Illinois For Respondent: Statement of Claim filed: John J. Kendrick, Jr., Esq. Kendrick

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Amy Shui 96-01019 Name of Respondents Advest, Inc. Allan Fink Patrick Thorogood REPRESENTATION For Claimant Amy Shui ("Claimant") appeared Ruthann Niosi, Esq., a sole practitioner with law offices located in New York, New York. For Respondents Advest, Inc. ("Advest"), Allan Fink ("Fink"), and Patrick Thorogood ("Thorogood"), collectively "Respon

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between of Henry J. Harfosh 96-01016 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc James D'Amico For Claimant Henry Harfosh ("Claimant") appeared Sidney L. Manes, Esq., of the law firm Green & Seifter in Syracuse, New York. For Merrill Lynch, Pierce, Fenner & Smith Inc. ("Merrill Lynch") and James D'Amico, ("D'Amico 11 ) (collectively

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Stephanie J. Belczyk 96-01015 Name of Respondents GNA Securities, Inc. PNC Brokerage Corp. REPRESENTATION Claimant Stephanie J. Belczyk ("Claimant") was represented by Gary A. Bryde, Esq., Hockessin, DE. Respondents GNA Securities, Inc. ("GNA 11 ) and PNC Brokerage Corp ("PNC 11 ) wer

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Anthony J. DiFulvio, (Claimant) vs. Jason Alan Birnbaum, Michael Pegalis and Wexford Clearing Services Case Number: 01-01165 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, Anthony DiFulvio, hereinafter referred to as "Claimant": Charles J. Engel, Jr., Esq., Engel & Engel, Syracuse, NY. Respondent, Jason Alan Birnbaum, hereinafter referred to as "Respon

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Charles A. Thurman and 96-01009 Name of Respondents Robert I. Moses, Andrew Alessandrini, Paul P. Alessandrini, Sr., Paul P. Alessandrini, Jr., Paul Lansat, David Karetsky, Geraldine K. Karetsky, Renee M. Salzman, Martin C. O'Brien, Stephen-J. Geness, Chadbourn Bolles, Jr., Richard Engelhardt, Geo

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC, In the matter of the arbitration between LARRY CRAIG FLOWERS, Claimant and Counter-Respondent, and Case Number 96-01003 SMITH CULVER, INC. Respondent, and JEFFREY R. SENGER, T e Respondent and Counter-Claimant. REPRESENTATION OF PARTIES Claimant Larry Craig Flowers was represented by Stuart N. Wilson, Esq. and Elyssa Schnurr, Esq., with the law firm of Wilson & Flanz,