N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John D. King 94-02366 Name of Respondents K. Aufhauser & Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 20, 1994, Claimant John D. King, who appeared Pro Se, alleged that Respondent K. Aufhauser & Company failed to execute his sell order of 3500 shares of Air Transpo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Morton and Lydia J. Sugarman 94-02364 Name of Respondent Charles Schwab & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 21, 1994, Claimants Morton and Lydia J. Sugarman, who appeared Pro Se, alleged that Respondent Charles Schwab & Co., Inc. placed their account in jeopardy over a thre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants David J. and Phyllis J. Cridge 94-02463 Names of Respondents Olde Discount Corporation, Jon Zabrocki, and Andrea Charles Perkins REPRESENTATION Claimants, David J. and Phyllis J. Cridge were represented by Kevin D. Hofman, Esq. of Jacobson, Harwood, Brill & Bennett, Minneapolis, Minnesota. Respondents, Olde Discount C

Stipulated Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-03173 Elizabeth Frey Banks Names of the Respondents Hearing Site: Boca Raton, FL Bernard G. Adair and Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION OF PARTIES For Elizabeth Frey Banks, hereinafter referred to as "Claimant": Darren C. Blum, Esq., Darren C. Blum, P.A., Plantation, FL. For Bernard G. Adair ("Adair") and Merrill Lync

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joan Nelson and Alfred C. Nelson 94-02360 Name of Respondents Legg Mason Wood Walker, Inc Jamie Vogel Fallen CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 21, 1994, Claimants Juan and Alfred C. Nelson, through their representative, William Lewis Randolph, Williamsburg, VA,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jerome Wasserman 94-02359 Name of Respondents Camelot Investment Corp. John Fasano Kirk Graham CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 21, 1994 , Claimant, Jerome Wasserman, who appeared Pro Se, alleged that Respondents Camelot Investment Corp. ("Camelot"), John Fa

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Joan R. Palmer and NASD Case Number: 94-02358 Name of Respondent Prudential Securities, Inc. REPRESENTATION^ P F PARTIES Claimant Joan R. Palmer was represented by Walter L. Baumgardner, Esq. of Musilli, Baumgardner, Wagner & Parnell located in St. Clair Shores, Michigan. Respondent Prudential Securities, Inc. was rep

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David V. Cohen Award No. vs. 94-02355 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc REPRESENTATION For Claimant, David V. Cohen ("Claimant") David J. Kneeland, Esq. from the law firm of Glickman, Sugarman & Kneeland located in Worcester, Massachusetts. For Respondent, Merrill Lynch, Pierce, Fenner and Smith

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Deborah Hodson St. Charles and Name of Respondents Prudential Securities, Inc., and Stephen G. Edmondson NASD Case Number: 94-2354 REPRESENTATION OF PARTIES Claimant, Deborah Hodson St. Charles was represented by O. Wayne Davis, Esq. of Henderson Daily Withrow & Devoe located in Indianapolis, Indiana. Respondents, Pru

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Raj Vadhera, as Personal Representative of the Estates of Navrata Ram Vij, and Guaran Devi Vij, deceased, Claimant, » v. NASD No. 94-02347 Shearson Lehman Hutton, Inc. a corporation; Raul Del Rio, an individual, Respondents. Representation For Claimant: Stephen Oggel, Esq., San Diego, California For Respondent Shearson Lehman Hutton, Inc. (S