N.A.S,D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Latlnvest Securities Inc. 96-03604 Name of Respondent William Harten REPRESENTATIONS For Claimant Latlnvest Securities Inc. ("Claimant") appeared Keith McDermott in-house-counsel located in New York. For Respondent William Harten ("Respondent") appeared Douglas Preston, Esq., located in Hieksville, New York. Statement o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lee Deane %-03603 Name of Respondent Global Equities Group Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on August 20. 1996. claimant Lee Deane ("claimant"), who appeared Pro Se, alleged thai respondent Global Equities Group. Inc. ("GEG") without his authorization made a

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Murray G. Greenberg 96-03599 Name of Respondents Prudential Securities, Inc. John P. Kneafsey REPRESENTATION Claimant Murray G. Greenberg ("Claimant") was represented by John H. West, III, Esq., Baltimore, MD. Respondents Prudential Securities, Inc. ("PSI") and John P. Kneafsey ("Kneafsey") were represented by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Todd M. Braner 96-03597 Name of Respondent Del Mar Financial Services, Inc. In a case filed with the National Association of Securities Dealers Regulation, Inc. on August 20, 1996, claimant Todd M. Braner ("claimant") who appeared Pro Se, alleged that respondent Del Mar Financial Service, Inc. ("Del Mar") lowered the amount of the

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Lorraine Ribaudo Thomas J. Pettenato Michael Pettenato The GSL Corporation 96-03595 Name of Respondents Advest, Inc. Michael Doherty REPRESENTATION For claimants Lorraine Ribaudo ("Ribaudo"), Thomas J. Pettenato ("T. Pettenato"), Michael Pettenato ("M. Pettenato"), and The GSL Corporatio

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-05161 Fidelity Brokerage Services, Inc., Claimant vs. Andy Pham, Respondent. ATTORNEYS; For Claimant, Fidelity Brokerage Services, Inc. ("Claimant"), appeared Laurence K. Richmond of the firm Laurence K. Richmond & Associates, P.C., Quincy, MA. Respondent, Andy Pham, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: November 21, 2000 CASE SUMMARY: Claimant alle

N.A,S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In rhe Matter of the Arbitration Between Name of Claimants Murphey and Dorothy Dare Name of Respondents A.S. Goldmen & Company, Inc. John Sacco CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on August 20, 1996 claimants Murphey and Dorothy Dare ("claimants") who appeared Pro Se, alleged that respondents A.S Goldmen & Company, Inc. ("

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Anne Feustle Lappe 96-03592 Name of Respondents First Investors Corporation Francis Xavier Baird REPRESENTATION Claimant Anne Feustle Lappe ("Claimant") was represented by Manha J. Lappe, Towson, MD. Respondents First Investors Corporation ("FIC") and Francis Xavier Baird ("Baird") were represented

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Vernon C. Nicolson 96-03590 Name of Respondents Salvatore Valente L.T. Lawrence & Co, Inc. REPRESENTATION Claimant Vernon C. Nicolson ("claimant") appeared pro se. For respondent Salvatore Valente ("Valente") appeared Christine Cole, Esq., of the law offices Slater and Cole, LLP located in New York, New York. For respondent L.T, Lawrence & Co., Inc ("LTL") ap

NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Daniel Schmitz, Executor of The Estate of Morris Schmitz, and Robert Jurgensmeyer Claimants, vs CONSOLIDATED Case Nos. 96-03581 Vision Investment Group, Inc. and 96-04119 Cantella & Co., Inc., Cantella Management Corp., Vincent Cantella, Michael Corulla, Paul Caruso, Kevin Scott Horn, Gerald Powers, and i rv