Award NASD Dispute Resolution, Inc, In the Matter of the Arbitration Between: Steven Gross and Carol Gross, (Claimants) v. First Union Securities f/k/a/ Everen Securities and Ronald W. Fox, (Respondents) Case Number: 00-00524 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Steven Gross and Carol Gross ("Gross"): Richard D. Grossman, Esq., Chicago, Illinois. Respondent First Union Securities f/k/a/ Everen Securities ("First Uni

I N,A.S.D. AWARD I NATIONAL. ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Lora and Brad Leonard: 96-03979 Name of RespoJHtents Mark S. Garfinkel Commonwealth Associates REPRESENTATION For Claimants: Stephen Murphy, Esq. of Pico & Dicks, Longwood, FL. For Respondent Commonwealth Associates ("Commonwealth"): J.P. Wilson, Esq. of Commonwealth, New York, NY. For Respondent Mark Coun

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Herman Glaser Lenard Thylan 96-03974 Name of Respondent H.J. Meyers & Co., Inc. REPRESENTATION Claimants Herman Glaser ("Closer") and Lenard Thylan ("Thylan") were represented by Dan Brecher, Esq. and Eric Ross, Esq., Fischbein Badillo Wagner Harding, New York, NY. Respondent H.J. Meyers & Co. (f.k.a. Thomas James & As

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Marvin N. Fountain Case No. 96-03973 Name of Respondents H.J. Meyers & Co., Inc. (formerly known as Thomas James Associates, Inc.) Robert Setteducati Mark Allen REPRESENTATION For Claimant Marvin N. Fountain ("Claimant"): Dan Brecher, Esq., of the law firm of Fischbein, Badillo, Wagner & Harding, New York, New York

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Stanley Katz 96-03972 Name of Respondents H.J. Meyers & Co., Inc. Mark J. Allen ' Robert J. Setteducati REPRESENTATION For Claimant Stanley Katz ("Katz") appeared Dan Brecher, Esq., a sole practitioner with offices located in New York, New York. For Respondents H.J. Meyers & Co., Inc. ("Meyers") and Robert J. Setteducati ("Setteducati") appeared

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Barry Habib 96-03970 Name of Respondents H.J. Meyers & Co., Inc. Thomas James Associates, Inc. Mark Allen Robert Seteducatti REPRESENTATION For Claimant Barry Habib ("Habib") appeared Dan Brecher, Esq., a sole practitioner with offices located in New York, New York. For Respondents H.J. Meyers & Co., Inc. ("Meyers"), Thomas James Associates, Inc

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Norm Brewer 96-03968 Name of Respondents Corporate Securities Group, Inc. Michael Austin Robert Burton CASE SUMMARY In a case tiled with the National Association of Securities Dealers Regulation, Inc. on September 5, 1996, claimant Norm Brewer ("claimant") through his representative and counsel A

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Jo Ann T. Lumsden 96-03967 Name of Respondents Prudential Securities Inc Prudential Sec-Managed Assets Consulting Kenneth Tarnashiro David Farrington REPRESENTATION Claimant JoAnn T. Lumsden ("claimant") appeared Pro Se. For respondent Kenneth Tamashiro ("Tamashiro") appeared his attorney Mic

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Susan Ann Bardfield Trust 96-03964 Name of Respondents PaineWebber, Ine, Laurence Wood REPRESENTATION Epr claimant the Susan Ann Bardfield Trust appeared Philip Raible, Esq. of the law offices Squadron, Ellenoff, Ptesent & Sheinfeld located in New York, New York, i ; For respondents PaineWebber, Inc. ("PaineWebber") and Laurence Wood ("Wood") (collectively "r

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Ellis T. Prince, Jr. 96-03961 Name of Respondents Prudential Securities Inc Robert Provence Warren E, Rowe REPRESENTATION Claimant Ellis T. Prince, Jr. ("Claimant") was represented by James B. Thorsen, Esq., Thorsen, Marchant & Scher, Richmond, VA. Respondents Prudential Securities, Inc. ("PS