NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Sondra Nodvin, Marvin Nodvin, Profit Sharing Plan and Trust of the Nodvin Firm, and Ecovest Associates, Ltd Case No. 95-01782 Name of Respondent National Financial Services Corp. REPRESENTATION Claimants Sondra Nodvin, Marvin Nodvin, Profit Sharing Plan and Trust of the Nodvin Firm, and Ecovest Associates, Ltd ("Claimants") were represented by H. Lamar Mix

NASD REGULATION, INC. A\VARI> In the Matter of the Arbitration Between Name of Claimant Kathleen Anderson < J5 01780 Name of Respondents Berkeley Securities Corp. Eric S. Williams RKI'RESKNTATION For claimant Kathleen Anderson ("claimant") appeared Morgan W. Bentley. Esq.. with law offices located in Newark. New Jersey. No representative appeared at the hearing on behalf of respondent Berkeley Securities Corp. ("Berkeley"). Respondent

NASD Rl-GULATION AWARD In the Matter of the Arbitration Between Name of Claimant Rose Palano 95-01776 Name of Respondents Dean Witter Reynolds inc. Bailey. Manin & Appel Inc Mark Perron Howard Appel Donald Bailey Francis Martin Charles Marweil. Ill Stephen Harrington Financial Equities Resources, Ine. BMA Advisors. Inc. REPRESENTATION For claimant Rose Palano ("claimant") appeared Philip M. Giordano. Esq. of me law of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Yvonne Chaliwit 95-01773 Respondents Gary Goldberg & Co., Inc. Gary M. Goldberg CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 11, 1995, Claimant Yvonne Chaliwit, who appeared Pro Se, alleged that Respondents Gary Goldberg & Co., Inc. and Gary M. Goldberg ("Goldberg"), recom

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Catherine L. Woodworth, (Claimant) vs. Investor's Advocate, LLC, Steven Maczka, and Jason Watkins, (Respondents) Case Number: 00-05082 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Catherine L. Woodworth, hereinafter referred to as "Claimant", appeared pro se. Respondents, Investor's Advocate, LLC ("IA"), Steven Maczka ("Maczka"), and Jason Watkins (

Final Order NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Heartland Securities Corp., (Claimant) vs. Herzog, Heine, Geduld, Inc., (Respondent) Case Number: 00-00511 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Heartland Securities Corp., hereinafter referred to as "Claimant": Matthew H. Maschler, Esq., Attorney at Law, Edison, NJ. Respondent, Herzog, Heine, Geduld, Inc., hereinafter referred to as "Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joan Deges 95-01772 Name of Respondent Olde Discount Corporation CASE SUMMARY [n a claim filed with the National Association of Securities Dealers, Inc. on April 11, 1995, Claimant Joan Deges ("Claimant"), who appeared Pro Se, alleged that Respondent Olde Discount Corporation ("Respondent"), advised her to purchase 563 shares o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants V Ronald Gem] 95-01771 - Name of Respondents') Smith Barney Inc. Robert L. Waxman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 11, 1995 Claimant Ronald Gerstl, who appeared Pro Se, alleged that Respondent Robert L. Waxman of the Respondent firm. Smith Barney Inc. recommen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James E. Ysseldyke 95-01770 Name of Respondents Dain Bosworth Inc. James D. Dutcher CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 11, 1995, Claimant James E. Ysseldyke ("Claimant"), who appeared Pro Se, alleged mat Respondents Dain Bosworth Inc. ("DBF 1 ), and James

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant^ W. David Mello, M.D., Trustee of the W. David Mello Smith Barney Prototype Profit Sharing Plan NASD Arbitration No. 95-01768 Name of Respondent^ Smith Barney Shearson, Inc. and Michael D. Berger REPRESENTATION For Claimant: H. Thomas Fehn, Esq. Fields, Fehn & Sherwin Los Angeles, California For Respondent: Se