N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert E. and Windell P. Davis 94-01949 Name qf Respondents Paul J. Witham RAF Financial Corp. Chatfield Dean & Co., Inc. CASE SUMMARY In a claim .filed with, the National Association of Securities Dealers, Inc. on May 25,1994, Claimants, Robert E. Davis and Windell P. Davis ("Claimants"), who appeared Pro Se, alleged

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ronald V. Trense & Elayne B. Nord 94-01948 Name of Respondents First Fidelity Brokers, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 24, 1994, Claimants Ronald V. Trense & Elayne B. Nord, who appeared Pro Se, alleged that Respondent First Fidelity Brokers, Inc. failed to tr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Barbara A. Maier vs. 94-01947 Name of Respondents Conservative Financial Services Inc. William H. Sharp Larry J. Pipkin CASE SUMMARY • * i~- In a claim filed with the National Association of Securities Dealers, Inc. on May 25, 1994, Claimant Barbara A. Maier, who appeared Pro Se, alleged that Respondents Conservative Financial Servi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Clifford C. Wood 94-01945 Name of Respondents Thomas James Associates, Inc. Michael Johnson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 25, 1994, Claimant Clifford C. Wood, who appeared Pro Se, alleged the Respondents Thomas James Associates, Inc. ("TJA") afld Respondent Mi

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Richard A. Saul, Claimant, v. NASD No. 94-1938 Kennedy, Cabot & Company, Gruntal & Company, Ron Roberts and John Aldaco, Respondents. Representation For Claimant: Pro Se, Newark, Ohio For Respondents: George Kupper, Esq. of Kennedy, Cabot & Co., Beverly Hills, California Case Information Statement of Claim filed: May 15, 1994 Claimant's Subm

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-03076 Donald Domingue Names of the Respondents Hearing Site: New Orleans, LA Salomon Smith Barney Inc. Sean J. Coughlin Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For Donald Domingue, hereinafter referred to as "Claimant": Robert L. Broussard, Esq., Jeffrey A. Ackerman, Esq., a

NASD AWARD Claimants Gilbert Charland Respondent Hanover Sterling & Company, Ltd. Case Number 94-01934 Claimant, Gilbert Charland ("Charland") was pro $g. jf Respondent, Hanover Sterling & Company, Ltd. ("Hanover") was represented by M. David Sayid, Esq. of Sayid and Associates, New York, NY for purposes of the Statement of Answer, however no representative for Hanover appeared at the hearing. CASE INFORMATION Statement of Claim file

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant (s) Ron W. Hirschi Terry L. Hirschi NASD Arbitration No. 94-01933 Name of Respondent ( s } A.G. Edwards and Sons, Inc. Michael Forbes Carey Wold REPRESENTATION For Claimants: Reid E. Lewis, Esq., Salt Lake City, Utah * *_- < ~ For Respondents: M. Jane Matoesian, Esq., A.G. Edwards and Sons, Inc.

NASD Arbitration No. 94-01924 N.A.S.D. AW7.RD NATIONAL ASSOCIATION OF SECURITIES Df'-'.LERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Lee Zorne Name of Respondent(s) Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION For Claimant: Lee Zorne, Esq., Beverly Hills, California For Respondent: Maren E. Nelson, Esq., Morrison & Foerster, Los Angeles, California CASE INPOSMATTON Statement of Claim filed

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James L. Roberts and 94-01921 Name of Respondent Kemper Securities, Inc., now known as Everen Securities, Inc. REPRESENTATION OF PARTIES For Claimant: Claimant James L. Roberts ("Roberts") was represented by David S. Acker, Esq. of Williams Bay, Wisconsin. For Respondent: Respondent Kemper Securities, Inc. ("Kemper"), now kn