NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00329 AWARD In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. Gregory Shepis Respondent CASE SUMMARY Dean Witter Reynolds, Inc. by its counsel Dominick J. Dorata, Esq., in a claim filed with the National Association of Securities Dealers, Inc. on January 30, 1991, alleged that Respondent Gregory Shepis has failed to pay a debit balance in his Act

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Daniel Leone, (Claimant) vs. Josephthal Lyon & Ross, Inc. and Timothy Stratford, (Respondent) Case Number: 00-04919 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Daniel Leone, hereinafter referred to as "Claimant": John D. Leone, Esq., Leone & Leone, Arlington, MA. Previously represented by: Robert F. Van der Waag, Esq., Law Offices of Amrod & Van der

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Mark A. Strutner vs. Claimant Jonathan Alan and Company, Inc. Alex Brown and Sons, Inc. Respondents Case #91-00311 AWARD CASE SUMMARY Pro Se Claimant, Mark A. Strutner,* in a claim filed with the National Association of Securities Dealers, Inc. on January 30, 1991, alleged that Respondent Jonathan Alan and Company, Inc. failed to transfer hi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00305 AWARD In the Matter of the Arbitration Between Michael R, Lackner Claimant vs. Gruntal & Co., Inc. Respondent CASE SUMMARY Pro Se Claimant Michael R. Lackner, in a claim filed with the National Association of Securities Dealers, Inc. on January 29, 1991, alleged that Respondent Gruntal & Co., Inc. failed to properly credit his account with interest from 1981-1988 on his

Arbitration ® N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Terri J. Robertson 91-00301 Name of Respondent(s) Shearson Lehman Brothers, Inc. The Robinson-Humphrey Company, Inc. Richard L. Beacham National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 For Claimant: Ger

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Mildred & Eugene Kaplan Malcolm Kaplan 91-00295 Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Dean Witter Reynolds, Inc. Leslie Lukoff Michael Bergold William Bunn REPRESENTATION For Claimants, Mildred Kaplan, Eugene Kaplan and Malcolm Kaplan ("The Kaplans"): Arnold Y. Steinberg, Esq., Boca

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00293 AWARD In Che Matter of the Arbitration Between Innovative Credit Consultants Claimant vs. Barry Bates Respondent P.A5E SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 28, 1991, Claimant Innovative Credit Consultants, through their representative Gidget C. Sune', alleged that Respondent Barry Bates failed to correct a trading

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04915 Jackson National Life Distributors, Inc., Claimant vs. Yankee Financial Group, Inc., Respondent. ATTORNEYS: For Claimant, Jackson National Life Distributors, Inc., ("Claimant"), appeared Philip C. Korovesis, Esq., of the Firm Butzel Long, Detroit, ML Respondent, Yankee Financial Group, Inc., ("Respondent"), appeared through its President, Richard F. Kresge, Bay Shore, NY.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert I. Orenstein Sandra J. Orenstein vs. Claimants CASE £91-00281 AWARD Prudential-Bache Securities, Inc. n/k/a Prudential Securities, Inc. Respondents CASE SUMMARY Pro Se Claimants Robert I. Orenstein and Sandra J- Orenstein, in a claim filed with the National Association of Securities Dealers, Inc. on January 25, 1991, alleged that Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between 3f Claimant Thcraas E. Smith 91-00275 Name of Respondents Parker Jameson, Inc. Gary Grandovic For Claimant: Susan L. Riffle, Esq. of Fainnant, Sole Practitioner. For Respondent Parkier Jameson, Inc.: Ifo attorney of record. For Respondent Gary Grandovic: Charles E. Scarlett, Esq. of JW Charles Securities Inc. Claimant signed a Submissio