N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert Bange 95-00852 Oppenheimer & Co., Inc. JohnS. Sturges CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 17, 1995, Claimant Robert Bange, who appeared Pro Se, alleged that Respondents Oppenheimer & Co., Inc. , ("Oppenheimer") and John Sturges ("Sturges"), mismanaged his ac

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Donald N. Fosco and Deborah Marinilli 95-00848 Name of Respondents Brighton Securities Corporation C. Walter Ries REPRESENTATION For Claimants Donald N. Fosco and Deborah Marinilli appeared Frank H. Lloyd, Jr., Esq. to the law firm of Henry W. Williams, Jr., Esq., located in Pittsford, New York. For R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John J. Grabner, Jr. Evelyn Grabner John J, Grabner, III Dorris E. Wolfe Peter Solobay 95-00846 Name of Respondents Rose Securities Corporation Rose Capital Markets Corporation Allan Bird Bill Goldsmith Jules Silver Mitchell Witt REPRESENTATION Claimants John J. Grabner, Jr., Evelyn Grabner, John J.

" . S N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s') Jack Y. Kahn Trust, Jack Y. Kahn, TTEE 95-00825 Name of Respondents) Diane K. Hufferd Emmett A. Larkin Company, Inc. U.S. Securities Clearing Corp. Beckman Investment Securities CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 16, 1995, Claimant Jack Y. Ka

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Francisco R. Cuevas 95-00824 Name of Respondent Montano Securities Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 16, 1995, Claimant Francisco R. Cuevas ("Claimant"), who appeared Pro Se, alleged that Respondent Montano Securities Corp. ("Respondent"), failed to pay him

PUBLIC NATIONAL ASSOCIATIO ^ In a Cor.soiidac.ed Matte Arbitration Between John R. Parisen, Thomas E. Messina and Michael A. laRossa Claimants vs . Royce Park Investments, Inc. Michele Palermo Respondents John R. Psfisen vs. Royce Park Investments and Michele Palermo CASE #90-03277 AWARD Thomas E. Messina vs. Royce Park Investments and Michele Palermo CASE #90-03278 AWARD Michael A. LaRossa vs.

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEAI£FS AfMtration National Association o* Stcuritta Dtttan, inc. NASD Financial Canter 33 Whitehall Street New York, New York 10CX In the Matter of the Arbitration Betvreen R.H. Kuhn Co., Inc. Name of Butcher & Singer, Inc. William M. Mackay 90-03271 For Claimant: Itobert S, whitehill, Esq. of Healey, Whitehall, Davidson r Deasy & Hornack. For Respondents: Paula Shaff

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Avrum Aaron and Yigal Marcus vs. Gerber Asset Management, L.LC., f/k/a Balfour Asset Management, L.L.C., Gerber Capital Management, Inc.., and Sander Gerber. Case Number: 00-04576 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimants, Avrum Aaron ("Aaron") and Yigal Marcus ("Marcus"), hereinafter collectively referred to as "Claimants": Jay S. Auslander, Esq., and Natalie S

In the Mattrer of the Arbitration Between Henri Bour vs. Claimant Robert Catoggio and Carl Lanzisera Respondents vs. Mark Ross, Sr. and Mark Ross, Jr. Third Party Respondents Case $90-03239 AWARD SUMARY - Henri Bour, Pro Se, in a claim filed with the National Association of Securities Dealers , Inc . on November 16 , 1990 , alleged that Respondent Robert Catoggio, a registered representative at Individual Securities p

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name Of Claimarvbfs} ) ) Donald Kornreich ) ) ) Case No. 90-03231 ) Name of Resrrmctent(s| ) ) Dean Witter Reynolds, Inc. ) Jonathan Peskin ) Heard before the arbitrator: Robert Herschmann, Esq. Public Claimant, Donald Kornreich ("Kornreich"), was represented by Martin V. Feloman, Esq. Respondents, Dean Witter Re