N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Frank and Kathleen flilenfeld 96-00578 Names of Respondents J.W. Charles Securities, Inc. Guy Drake REPRESENTATION For Claimants Frank and Kathleen Ihlenfeld ("Mr. and Mrs. Ihlenfeld"): Russell Silverglate, Esq. of Dickenson Murdock Rex and Sloan, Boca Raton, Florida. For Respondents J.W. Charles Securiti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Aaron Rosenberg 96-00573 Name of Respondents Toluca Pacific Securities Corp. James B. Hancock, Jr. Moe Silver Mike Procak Trish Sandberg Paul Fiorini CASE SUMMARY In a claim filed with the National Association of Securities Dealer, Inc. on February 7, 1996, Claimant Aaron Rosenberg ("Claimant"), who appeared Pro

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Allied Resources, Inc. 96-00572 Name of Respondents Prudential Securities Inc Investors Associates Inc. REPRESENTATION For Claimant, Allied Resources, Inc. ("ARI"), appeared James A. Prestiano, a sole practitioner located in New York, New York. For Respondent, Prudential Securities, Inc. ("PSI"), appeared William H. Freilich, Esq., in-house counsel located in

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Fred J. Leunis 96-00571 Name of Respondents Equities Trading Corp. Kathleen Cuomo Janice Chan REPRESENTATION For claimant Fred J. Leunis ("claimant") appeared, Barry J. Byrnes, Esq. with law offices in Long Island City, New York. For respondent Equities Trading Corp. ("Equities Trading 1 *), Kathleen Cuomo ("Cuomo") and Janice Chan ("Chan") (colle

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Robert E. Mundy and Case Number 96-00566 Name of Respondent Financial Network Investment Corporation REPRESENTATION OF PARTIES Robert E. Mundy ("Claimant") was represented by Waldine H. Olson, Esq. of Schmid, Mooney & Frederick, P.C. located in Omaha, NE. Financial Network Investment Corporation ("Respondent") was repre

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Randy Goben and Katherine Goben, Claimants, and No. 96-00565 Sterling Foster & Company Incorporated, Clayton Sontag, Jason Deblin, and Mario Rodriguez, Respondents. REPRESENTATION OF PARTOES Claimants, Randy Goben and Katherine Goben, were represented by Kurt A. Harper, Esquire of Sherwood & Harper, Attorneys at Law, located in Wichita, Kansas.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rudolph & Nelly Anderson 96-00551 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Norman J. Marcotte CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 6, 1996, Claimants Rudolph and Nelly Anderson ("Claimants"), who appeared Pro Se, alleged that Respondent Merrill

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Stanford and Judy Cohen 96-00549 Name of Respondents Smith Barney Inc, Steven Mallah CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 6, 1996, Claimants Stanford and Judy Cohen ("Claimants"), through their representative and counsel, Donald T. Norton, Esq., alleged that Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elias Schonberger, Estate of Lois Schonberger, Schoolhouse 1891 Associates, and Schonberger Family Partnership (Claimants) v. Chase Investment Services Corp. and Malcolm Elliott Katt (Respondents) Case Number: 00-05387 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Elias Schonberger ("E. Scho

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between f Claimant Rose T. Walleze Trust 96-00543 Name of Respondents Dean Witter Reynolds Inc. Edward D, Goddard REPRESENTATION For Claimant: Stephen Murphy, Esq. of the law firm of Pino & Dicks, Longwood, Florida. For Respondents: Debra A. Roth, Esq., in-house counsel at Dean Witter Reynolds, Inc. ("Dean Witter"). CASE INFORMATION Stateme