N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClainjajjJ Ana Rita Monteiro Tran 94-01086 Name of Respondent Kennedy, Cabot & Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 22, 1994, Claimant Ana Rita Monteiro Tran, who appeared Pro Se, alleged that Respondent Kennedy Cabot and Company told her that 5,000 shares of SA Holdings

JU/-14-19SS 1U2B FROM TO 121285B4429 P. 02 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS ., ^ fatheMMtef rfito Jobn Denes 94-01063 jSssuf£suuAst PrinaWebbtr IncocpOMUad For CUinunt; Aim Deo* ('Deo*') w«i npmeaaad by Riefami A. MINT, Esq. Sbemky, P.C.. tocMed la Btoomficld Hllli, Michigan. fos Rcvpoodcot! PfcinpWcbbflr loDOfponicd ("FnDBWobbcr/ vu tepecscoOKl by Ntncite I* Kotpi, Esq. «nd Andrew W. Mychriowych, Esq., of Hiliw

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rhea Bierman 94-01080 • Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Diana L. Read REPRESENTATION Claimant, Rhea Bierman was represented by Robert N. LeMay, Esq. of Kane, Russell, Coleman & Logan, P.C., Dallas, Texas. Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc. was represented by Russ

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-02991 John V. Dvorak Names of the Respondents Hearing Site: Tampa, Florida Joseph Gunnar & Co., LLC Theodore Hiotis, Individually, and Correspondent Services Corporation Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For John V. Dvorak, hereinafter referred to as "Claimant": James D. Keeney

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS [n the Matter of the Arbitration Between Name of (Claimants Robert C. and Sally A. Kiszewski 94-01077 Name of Respondents Charles Schwab & Company, Inc. Paul Meinville REPRESENTATION For Claimants Robert C. and Sally A. Kiszewski (hereinafter collectively referred to as "Claimants") appeared Robert M. Villarini, Esq. with the law firm Michalek, Villarini& Henry, Hamburg, New York.

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between IDS Financial Services, Inc. and Mary Larimer, Claimants, v. NASD No. 94-01076 Armen Harutunian, Respondent. Representation For Claimants: Gary Irwin, Esq. of IDS Financial, Services, Inc., (IDS) Minneapolis, Minnesota For Respondent: Pro se, Glendale, California Case Information Statement of Claim filed: March 18,1994 Claimant Mary

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS Q^ Claimant Norman H. Greengard 94-01075 Protective Group Securities, Inc. and Marty Dehen REPRESENTATION OP PARTIES Claimant, Norman Greengard ("Greengard*} was represented at the hearing by Vernon J. Vander Weide, Esq. of Head Seifert & Vander Weide, Minneapolis, Minnesota. Respondents, Protective Group Securities, Inc. ("PGS") and Marty Dehen ("Dehen") were represented at the h

N.A.S.D. AWARD RATIONAL ASSOCIATION OP SECURITIES DEALERS Timothy H. Burton 94-01073 f Resondents Duke & Co., Inc. and Gary Richard Harder REPRESENTATION OF PARTIES Claimant, Timothy Burton was represented at the hearing by Mark Briol, Esq. and Greg Wilmes, Esq. of Briol & Wilmes, Minneapolis, Minnesota. Respondent , Duke & Co . , Inc . was represented at the hearing by Charles M. O'Rourke, Esq., Hempstead, New York. Respondent, Gary Ric

STIPULATED AWARD of NATIONAL ASSOCIATION OF SECURITIES DEALERS _ ' APR 03 1995 In the Matter of the Arbitration Between AvxB Name of Claimant Hamilton Investments, Inc. 94-01072 of Resondents David S. Grosky and Jody G. Grosky Representation of Parties Claimant Hamilton Investments, Inc. ("Claimant") was represented by Michael B. Elman, Esq. of Hamilton Investments, Inc., Chicago, Illinois. Respondents David S. Gr

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Phyliss Moss Claimant NASD Regulation, Inc. v. No. 94-01062 Joel Dean Moore Kenneth Robert Winton California One Investments Raymond Dillon Richard Crawford Schaub Respondents REPRESENTATION OF PARTIES Phyliss Moss ("Claimant") was represented by Michael R. McCabe, Esq., Reese Smalley Wiseman & Schweitzer, Redding, California.