N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between frjfame Q f Claimant Dominick Perrone 94-00891 Name of Resppnftent Warren S. Green R.B. Webster Investments, Inc. CASE SUMjfriARY In a claim filed with the National Association of Securities Dealers, Inc. on April 21, 1994, Claimant Dominick Perrone, who appeared Pro Se, alleged that Respondent Warren S. Green ("Green"), an account represen

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 94-00890 LIK Securities n/k/a Lumiere Securities, claimant v. Linda Marie Nesheim-Maxwell, respondent. ATTORNEYS: For Claimant appeared Lawrence Kravetz - Englewood, CO. For Respondent appeared Richard C. Downing, Esq. - Little Rock, AR. DATE FILED: 3/8/94 CASE SUMMARY: Claimant alleged that the respondent, a former employee, owes money and that responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS % In the Matter of the Arbitration Between Name of Claimants Joseph F. Smiley & Gerda U. Smiley.TTEE 94-00887 Name of Respondents ETRADE Securities, Inc. Reynolds Kendrick Strarton, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 8, 1994, Claimants Joseph F. and Gerda U. Smiley, TTEE, who appeared Pro Se, alleged that Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Harry Goldstein 94-00886 Name of Respondent Alfredo Ramirez, III CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 8, 1994 Claimant Harry Goldstein ("Claimant"), who appeared Pro Se, alleged that Respondent Alfredo Ramirez, III ("Respondent") of Dickinson & Co., Inc., made misrepre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Benjamin P. Light and Carolyn W. Light 94-00885 Name of Respondents Dean Witter Reynolds, Inc. Mace Mavroleon CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 8, 1994, \ Claimants Benjamin P. and Carolyn W. Light, through their representative, Barry Alper of Securities Arbitr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of C Dean Witter Reynolds, Inc. Case No. 94-00882 Name of Respondent David Weinreb For Claimant, Dean Witter Reynolds, Inc.: Anne W. Tennant, Esq., Steel Hector & Davis, West Palm Beach, Florida. Respondent David Weinreb was pro se. CASE INFORMATION Statement of Claim filed: March 4,1994 and Amended Complaint filed: October 19,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Allan Green -*. 94-00877 Name of Respondent^ Raymond, James & Associates, Inc. Nathan Margolin REPRESENTATION For Claimant, Allan Green ("Green"): Robert Pearce, Esq. of Lerner and Pearce, P.A., Ft. Lauderdale, Florida For Respondent, Raymond James & Associates, Inc. ("Raymond James"): Michael Alford, Esq. of Raymo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS % Larry Bruce Carr, Claimant v. No. 94-00867 Merrill Lynch, Pierce Fenner & Smith, Inc., Paul Beebe, Fred Bruce and Richard Fitzgerald, Respondents. REPRESENTATION OF PARTIES Claimant Larry Bruce Carr was represented by William S. Shepherd, Esq., Sole Practitioner, Houston, TX and by Cecilia A. Welch, Esq., Oklahoma City, OK. Respondents Merrill Lynch, Pierce Fenner & Smith, Inc. and

N.A.S.D. FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Name of Claimants Jeffrey R. Kuklinski Kemper Securities, Inc. and 94-00864 Name of Respondent B.C. Ziegler and Company BACKGROUND On May 23, 1994, in accordance with the NASD Code of Arbitration Procedure, a decision on the Claim asserted against B.C. Ziegler in this matter was issued by the undersigned arbitrators. That interim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. » In the Matter of the Arbitration Between Name of Claimant Choice Investments, Inc. 94-863 Names of Respondent Forde D. McWilliams REPRESENTATION Claimant, Choice Investments, Inc. (hereafter "Choice") was represented at the hearing by Mark A. Wright, Esq., of Choice Investments, Inc., Austin, Texas. Respondent Forde D. McWilliams (hereafter "McWilliams") was represented at