NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-05298 M.L. Stern & Co., LLC, claimant vs. Yoel Bess, respondent. ATTORNEYS: For Claimant appeared in-house counsel, James D. Portman, Esq., Beverly Hills, CA. Respondent Yoel Bess did not respond to the Statement of Claim. DATE FILED: November 30, 2000. CASE SUMMARY: Claimant alleged that on the day of his voluntary termination of employment, respondent received a sum for commissio

PUBLIC NATIONAL ASSOCIATION CF SECURITIES DEALERS, INC. CASE #91-03986 AWARD In che Matter of the Arbitration Between James & Lynn Chang, JT Ten Claimants vs. Barrett Day Securities, Inc. David Berger Manny Peit Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 17, 1991, Claimants James & Lynn Chang who appeared Pro Se, alleged that on September 10, 1991 Respon

PUBLIC NATIONAL ASSOCIATION CF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Lucille Stein, TTEE Lucille Stein Trust u/a/d 6/23/88 vs . The G.M.S. Group, Inc. Jerome Solomon Respondents Claimant CASE #91-03985 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 17, 1991, Claimant Lucille Stein, TTEE, who appeared Pro Se, alleged that Respondents The

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James Calger No. 91-03983 Name of Respondent Oppenheimer & Co., Inc. * **" REPRESENTATION OP PARTIES For Claimant: Richard N. Kessler, Esq., Chicago, Illinois. For Respondent: M. David Hyman, Esq., Ridgewood, New Jersey. CASE INFORMATION Statement of Claim filed: December 16, 1991. Claimants' Submission Agreement signed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Pro Tech Industries, Inc. and Gregory J. Halpera, Claimants 9 consolidated with v. No. 91-03996 Blunt Ellis & Loewi, Robert Veenendaal, Prudential Securities, Incorporated, and Robert Sayre, Respondents REPRESENTATION OF"PARTIES For Claimants Pro Tech Industries, Inc. and Gregory J. Halpern ("Claimants"): Paul Sussman, Esq.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Doiey Securities, Inc. and Harold E. Doley, Jr. 91-03976 Name of Respondent John A. Washington REPRESENTATION OF PARTIES For Claimants, Doley Securities, Inc. and Harold E. Doley, Jr., at the hearing: Keith Doley, Esq., New Orleans, Louisiana. For Respondent, John A. Washington, at the hearing: Jerome J. Pellerin, Esq. of Pola

N.A.S.D. FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ''"''-*' > , Name of Claimants Doley Securities, Inc.; Harold Doley, Jr. 91-03975 Name of Respondents First Commonwealth Securities Corp.; Norbert Alonzo Simmons REPRESENTATION For Claimants: Doley Securities, Inc. ("Doley Securities") and Harold Doley, Jr. ("Doley") were represented by William E. Brown, Esq. of Covington, Louisia

N.A.S.D AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Mauer or the Arbitration Between Name of Claimants Harold and Rita Marcus 91-03974 Name of Respondents Prudential Securities, Inc. Jeffrey Monizzi REPRESENTATION Claimants Harold and Rita Marcus ("Claimants") were represented by Carl Mazzie. Esq. Respondent Prudential Securities. Inc.. (" Prudential") was represented by Brian F. Amen,* of the law firm of Bressler. Amery & Ro

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASK #91-03968 AWARD In the Matter of the Arbitration Between Harry E. Chan Claimant vs. First Georgetown Securities, Inc. Robert T. Mann Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 16, 1991, Claimant, Harry E. Chan p who appeared Pro Se, alleged that on October 25, 1992 Respondent, First Georget

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Claimants Stephen Michael Golding 91-03959 Respondents Merrill, Lynch, Pierce, Fenner & Smith, Inc. Kidder, Peabody & Co., Inc. REPRESENTATION For Claimant, Stephen Michael Golding ("Golding"); Jerome S. Reisman of Reisman & Abraham. For Respondent: Merrill, Lynch, Pierce, Fenner & Smith, Inc. ("M.L."); Keith Olin, Esq. of Morgan Lewis