AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant RBC Dain Rauscher Inc. and 01-02942 Phoenix, Arizona Name of Respondent Jon C. Otto REPRESENTATION OF PARTIES RBC Dain Rauscher Inc. ("Claimant") was represented by Frank Lewis, Esq., Begam, Lewis, Marks & Wolfe, Phoenix, Arizona. Jon C. Otto ("Respondent") appeared pro se, CASE INFORMATION The Statement of Claim was filed on or about Ju

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant DFB (Australia) PTY, Ltd. 94-00558 Name of Respondent M. Rimson & Co., Inc. REPRESENTATION For Claimant DFB (Australia) PTY, Ltd. (hereinafter referred to as "Claimant") was represented by Haig V. Kalbian, Esq. of the Law Offices of Haig V. Kalbian, Washington, D.C. For Respondent M. Rimson & Co., Inc. (hereinafter referred

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jose De la Hoz & Marina De la Hoz 94-00556 Name of Respondents Gary S. Boccio Ahmed Bashir CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 15,1994, Claimants Jose De la Hoz and Marina De la Hoz, who appeared Pro Se, alleged that Respondent Ahmed Bashir of Citicorp made mi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Stanley Tobias NASD Arbitration 94-00552 vs. Name of Respondents IDS Financial Services Inc. IDS Life Insurance Co., Inc. IDS Financial Corporation REPRESENTATION For Claimant: Kenneth A. Burns, Esq., Las Vegas, Nevada For Respondents: Carol Davis Zucker, Esq., Beckley, Singleton, DeLanoy, Jemison & List, Chtd

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ethel Fraga Case# vs. 94-00548 Name of Respondent Michael McNamara REPRESENTATION Claimant, Ethel Fraga ("Claimant"), represented herself at the hearing. For Respondent, Michael McNamara ("Respondent"), Thomas G. Nicholson, Esq., from the firm of Finneran & Nicholson, P.C., located in Newburg Port, Massachusetts. CASE I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald R. Sutherland 95-00546 Name of Respondents Paul Johnson Thomas James Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 30, 1995, Claimant Donald R. Sutherland ("Sutherland"), who appeared Pro Se, alleged that Respondent Paul Johnson ("Johnson") while e

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between « _ Name of Claimant Lisa May Pechnik 94-00540 Name 9f Respondents Charles Schwab & Company, Inc. Deborah E. Bell Susan Agostini For Claimant Lisa M. Pechnik ("Claimant") appeared Richard M. Sasso, Esq. of Schiller & Sasso located in Warren, New Jersey. For Respondents Charles Schwab & Co., Inc., Deborah Bell and Susan Agostini ("Re

N.A.S.O. AWARD NATIONAL ASSOCIATION QP SECURITIES DEALERS. INC. In the matter of f.he Arbitration Betv/een Name of Claimantfs) Wendy Kruthers, Trustee of the Gertrude B. William Trust NASD Arbitration No. 94-00539 Name of Respondent: I a) Crowell, Weedon & Co. Ralph Ames, III REPRESENTATION For Claimant: Dennis G. Merenbach, Esq., Santa Barbara, California For Respondents: John A. Blue, Esq. and Kevin P. Farmer, Esq., Adams, Duqu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anita Pescow 94-00527 Name of Respondent Olde Discount Corporation REPRESENTATION Claimant, Anita Pescow ("Claimant"), appeared pro se. For Respondent, Olde Discount Corporation ("Respondent"), Dave Doyle. Esq.. in-house counsel. CASE INFORMATION Statement of Claim filed: February 14, 1994 Claimant's Submission Agre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tl.e Matter of the Arbitration Between Name of Claimant Lea Lerman 94-00523 Name of Respondent Lew Lieberbaum & Co., Inc. REPRESENTATION For Claimant Lea Lerman ("Lerman") appeared LLoyd S. Clareman, Esq., located in New York, New York. For Respondent Lew Lieberbaum & Co., Inc., ("Lieberbaum") appeared Larry Sandor, Esq., of Lieberbaum located in Garden City, New York. CASE