N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Commonwealth Associates 95-01548 Name of Respondent Stephen Dupree CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 27, 1995, Claimant, Commonwealth Associates, through its representative, David S. Richan, Esq., of Tenzer Greenblatt LLP, located in New York, NY, alleged that Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mourad Bentoumi 95-01546 Name of Respondent Dennis Nuss CASE SUMMARY In a claim filed with the National Association of Securities Dealers, lac. on March 27, 1995, Claimant Mourad Bentoumi, who appeared Pro Se, alleged that Respondent Dennis Nuss, failed to execute several transactions for him. Claimant further alleged that he w

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John R. and Margaret M. Center 95-01544 Name of Respondents Peter Emmanuel Prudential Securities, inc CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 27, 1995, Claimants John R. and Margaret M. Center ("Claimants"), who appeared Pro Se, alleged that Respondents Peter Emmanue

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jay. Vera, and Zachary Marowitz 95-01542 Name of Respondents -"g;,--. .* ^aa^^^»^»^^««^^^ i First Institutional Investment Services Co. Scott Siege! REPRESENTATION For Claimants, Jay Marowitz, Vera Marowitz, and Zachary Marowitz, appeared Harry L. Garman, Esq., sole practioner, Fairfield, New Jersey. For Respondents, F

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Names of Claimants William Morgan and Mary E. McCleery and Case Number 95-01539 Names of Respondents APS Financial Corporation, Samuel Ray Granett, Dana Jonathan Guillory and John Joseph Glade REPRESENTATION OF PARTIES William Morgan and Mary E. McCleery ("Claimants") were represented by Dick Gann, Esq. and Stephanie Theban, Esq. of Riggs, Ab

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thp Claimant Matilda F. Maassen fase NIITTIher- 00-04658 Name of the Respondents A.G. Edwards & Sons, Lie. Timothy F. Griffith Hearing .Site- Philadelphia, PA Nature of Dispute: Customer vs. Member and Associated Person RFPRFSF.NTATTON OF PARTTFS Claimant Matilda F. Maassen, hereinafter referred to as "Claimant", was represented by Margaret Man

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant. Woodrow & Mary Ann Pierce vs. NASD Arbitration No.95-01537 Name of Respondent Titan Value Equities Group, Inc. William A. Donaldson REPRESENTATION For Claimants: Woodrow Pierce, Coeur D'Alene, Idaho For Respondent Titan Value: Christopher B. Wells, Esq., Lane Powell Spears Lubersky, Seattle, Washington. For R

IW-24-1996 15 = 26 . 212 371 5099 N.A.S.D, AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Cummonwmlth AwocJatee v, 95-01536 Name of Respondent ifwi Emiaeote For Claimant; David S . Rfenan, Esq. , from the finn of Tenzer Greenblatt , UUP, Mew York, NY Respondent did not appear at the evidentiary hearing conducted in this matter. CASE Statement of Claim filed: March 28, 1995 Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of .Claimant(s) Randall Moore 95-01531 Name of Respondent^ M, Rimson & Co., Inc. Glenn Bennett CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 27, 1995, Claimant Randall Moore, through his counsel, John E. Lawlor t Esq., Garden City, NY, alleged that Respondent M. Rimson & Co., I

NASDR AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between PaineWebber, Incorporated Claimant, v. No. 95-01523 Terrance Roddy Respondent. REPRESENTATION OF PARTIES Claimant PaineWebber, Incorporated was represented by Thomas M. Mierswa, Esquire, of PaineWebber, Incorporated located in Weehawken, New Jersey. Respondent Terrance Roddy was represented by Thomas H. Boyd, Esquire, of Winthrop