N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Zisis Alevras, Christos Alevras et al. Case No. vs. 94-00327 Name of Respondents Chatfield Dean & Co., Inc. Lawrence Greenberg For Claimants. Zisis Alevras, Christos Alevras, et al. ("Claimants"), Frank J. Liberty, Esq. from the firm of Greenberg, Parenteau & Geraghty, P.C., located in New London, Connecticut. For Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS • Nme of C*i T^TOiinfr Sharon I ekes 94-00325 w»»t» of Respondents Foster Jeffries Co., Inc. and William Walters REPRESENTATION OF PARTIES For Claimant, Sharon Ickes { "lakes") at the hearing: Thomas P. Ward, Esq. of McBride Baker & Coles, Chicago, Illinois and Deborah L. Mahoney, Esq. of Mahoney & Burke, Chicago, Illinois. For Respondents Foster Jeffries Co. ("Foster Jeffries") a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Glenn Berlin and Martin Berlin 94-00317 Name of Respondents Robert Todd Financial Corp. Robert Bobak Fallah Peter Laurence Cohen Franco Peter Dortona Todd Mitchell Spehler For Claimants Glenn and Martin Berlin ("Claimants") appeared Lawrence J. Bochat, Esq., of the law firm of Bochat & Keenan, P.C., located in Garden C

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-02938 H & R Block Financial Advisors, Inc., claimant vs. Chad L. Hughes and Gregory L. Droster, respondents. ATTORNEYS: For Claimant appeared Kurt M. Miller, Esq., in-house counsel, Detroit, MI. Respondents did not submit a response to the Statement of Claim. DATE FILED: June 4, 2001 CASE SUMMARY: Claimant alleged that respondents failed to repay the debit balance created in the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claiman^ Gilston Electrical Contracting Corp. vs. 94-00315 Name of Respondents Americorp Securities, Inc. Jamie Lanz Claimant Gilston Electrical Contracting Corporation ("Gilston") was represented by Eva H. Posman, Esq., New York City, New York. Respondent Americorp Securities, Inc. ("Americorp 11 ) was represented by William M.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elizabeth Danziger 94-00276 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 25, 1994, Claimant Elizabeth Danziger, who appeared Pro Se, alleged that Respondent, Merrill Lynch, Pierce, Fenner and Smith, Inc. ("MLPFS") fr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS * In the Matter of the Arbitration Between Name of Claimants Aniello and Violet Ruggieri Carrie Ruggieri Case# vs. 94-00267 Name of Respondents Bear Stearns & Company Lew Lieberbaum & Co., Inc. Mark Perosi REPRESENTATION For Claimants, Aniello, Violet and Carrie Ruggieri ("Claimants"), William J. Conley, Jr., Esq., from the law firm of Pass, Caruolo & Conley, located i

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Milo L. Pike Case# vs. 94-00266 Name of Respondents Dean Witter Reynolds Inc. Elizabeth Bennett Rice REPRESENTATION Claimant, Milo L. Pike ("Claimant"), was represented by Edgar D. McKean, HI, Esq., from the law firm of McKean, Mattson and Latici located in Gilford, New Hampshire. Respondents Dean Witter Reynolds, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS *. In the Matter of the Arbitration Between Name of Claimants Li-Chia and Jiun-Ning Hsu 94-00253 Name of Respondent Pacific Brokerage Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 24, 1994, Claimants Li-Chia and Jiun-Ning Hsu, who appeared Pro Se, alleged that Respondent Pacific Brokerage Services, Inc. made an un

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Glenn and Carmen Guidry Claimants, v. No. 94-00443 Smith Barney Shearson, f/k/a Shearson Lehman Brothers Respondent. REPRESENTATION OF PARTIES Claimants Glenn and Carmen Guidry ("Claimants") were represented by James L. Brazee, Jr., Esq. and Marjorie G. O'Connor, Esq. of Brazee and Associates located in Lafayette, Louisiana. Claimants were p