NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Jeffrey J. Heet, Claimant, and 94-02068 John Hancock Broker Distribution Services, Inc., Respondent. REPRESENTATION QF PARTIES Jeffrey J. Heet ("Claimant") was represented by Thomas A. Connolly, P.C.. and Mario G. Silva, Esq., Cervantes and Associates, St. Louis. Missouri. John Hancock Broker Distribution Services, Inc. ("Respondent") was

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Shienkun J. Chen & Fangyun Lu Chen 94-02059 Name of Respondents Randle Villa Trent Gribben First American Biltmore Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 2, 1994, -Claimants Shienkun L Chen and Fangyun Lu Chen, who appeared Pro Se, stated that on May

Award NASD Dispute Resolution., Inc. In the Matter of the Arbitration Between: Charles Schwab & Co., Inc., (Claimant) vs. A.G. Edwards & Sons, Inc. and Raymond E. Cloutier, Jr., (Respondents) Case Number: 01-03147 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Charles Schwab & Co., Inc., hereinafter referred to as "Claimant": David P. Eby, Esq., Devine, Millimet & Branch, Manchester, NH. Respondents, A.G. Edwards & Sons, Inc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sam Axelrod 94-02058 Name of Respondent Robert Todd Financial Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 3, 1994, Claimant Sam Axelrod, who appeared Pro Se, alleged that Respondent Robert Todd Financial Corp-, iailed to execute a transaction for him. Claimant further al

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John J. Nicolich vs. 94-02057 Name of Respondent Oppenheimer & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 1, 1994, Claimant John Nicolich, who appeared Pro Se, alleged that Respondent Oppenheimer & Co., Inc. improperly charged him commissions. Claimant further alleg

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kenneth Seligson 94-02056 Name of Respondents J.W. Builard & Co., Inc. James W. Builard, Jr. .-. REPRESENTATION Claimant Kenneth Seligson ("Claimant") appeared at the hearing pro se. Respondent J. W. Bui lard & Co., Inc. was not represented at the hearing and Respondent James W. Bullard, Jr. (collectively "Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Giovanni Cossu and Susan Cossu 94-02055 Name of Respondents Olde Discount Corporation Michael A. Barrella CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 3, 1994, Claimants Giovanni and Sttsan Cossu, who appeared Pro Se, alleged that Respondents Olde Discount Corporation ("Ol

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Wayne Monteith CASE NO. v. 94-02050 Name of Respondent^) Prudential Securities Inc Joseph Brunori REPRESENTATION For Claimant, Wayne Monteith ("Claimant") appeared Leon B. Piechta, Esq. from O'Donnell Kennedy Vespole Piechta et al located in West Orange, New Jersey. For Respondents, Prudential Securities, Inc. and Jo

NATIONAL ASSOCIATION OF SECURITIES DEALERS tn the matter of the Arbitration Between Bern'd Michael Haupt AWARD No. 94-02043 v. Smith Barney Shearson, Inc. John Short Paul F. Meyer REPRESENTATION Claimant represented himself. Respondents were represented by Ann Parry, Esq., Smith Barney, Inc., New York, New York, appearing by telephone conference call. CASE INFORMATION The Statement of Claim was filed May 31,1994, and Claimant's submi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Brian Faske Award No. vs. 94-02038 Name of Respondents Beacon Securities, Inc. Gus Elijah Geldman Stephen William Schwartz James Malcolm Bock REPRESENTATION For Claimant, Brian Faske ("Claimant"), Garret Rubin, Esq., from the firm of Dispenza & Rubin located in Glendale, New York. For Respondents, Beacon Securit