N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants GKN Securities Corp. 94-00422 Name of Respondents Charles Stile CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1994, Claimant GKN Securities Corp., through its in-house counsel Katherine Nathan, Esq., New York, New York, alleged that Respondent Charles Stile commenced

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp. 94-00421 Name of Respondent Barrie Albert CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 3, 1994, Claimant GKN Securities Corp., through its representative, and in-house counsel, Katherine Nathan, Esq., alleged that Respondent Barrie Albeit, railed to rep

I I ! N.A.S.D. AWARD NASD Regulation, -Inc, Oflfcg of Dispute Resolution j In the Matter of the Arbitration Between j Name of Claimant Cesar Ernesto Balbin j I 94-00420 ! of Respondents Fidelity Brokerage Services, Inc. Robert Jenkins For Claimant; Stephen Murphy, Esq. of Pino & Dicks, Longwood, Florida. For Respondents: Keith Olio, Esq. of Morgan, Lewis & Bockius. Miami, Florida. CA Statement of Claim filed: January IS,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Henry K. Saunders Trust, H. Reed Saunders Rachel 6. Saunders H. Reed & Rachel G. Saunders Craig A. Saunders 94-00247 Name of Respondent Noreen B. Davidson REPRESENTATION For Claimants Henry K. Saunders Trust, H. Reed Saunders Rachel G. Saunders, H. Reed & Rachel G. Saunders, and Craig A. Saunders (collectively "Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: J.P. Turner & Company, L.L.C. (Claimant) v. Nicholas J. LaRosa and Dean Esposito (Respondents). Case Number: 01-02934 Hearing Site: New York City, New York Nature of the Dispute: Member v. Associated Persons REPRESENTATION OF PARTIES Claimant J.P. Turner & Company, L.L.C. hereinafter referred to as "Claimant": Dianne Papierniak, Esq., In-house counsel for J.P. Turner & Company,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Boyd A. Cecil 94-00244 Name of Respondents Robert Todd Financial Corp. Frank Jack Zangara CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 24, 1994, Claimant Boyd A. Cecil, who appeared Pro Se, alleged that Respondent Frank Jack Zangara of the Respondent firm Robert Todd Financial Corp. has not

N.A.S.D. AWARD *• NATIONAL ASSOCIATION OF SECURITIES DEALERS __ _____ «t ___ In the Matter of the Arbitration Between Name of Clai Eugene Solomon 94-00243 Name of Respondent^ Fidelity Investments CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 24, 1994, Claimant Eugene Solomon, who appeared Pro Se, alleged that Respondent Fidelity Investments misrepresented Fidelity Purit

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between" E*Trade Securities, toe. .' ' ; \ , . 94-00241 Name jOf Respondents Chris Hillman . , Brian Pringle CASE SUMMARY In a claim filed .with the National Association of Securities Dealers, Inc. on January 20, 1994, Claimant E*Trade Securities, Inc. ("BTrade"), through its representative Tom Laris, alleged that Respondents Chris Hillman and Brian

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ si Tina Lynn Blaisdell 94-00239 Name of Respondent! s) Robert Amico Jon Francis McDermott CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 21, 1994, Claimant Tina Lynn Blaisdell who appeared Pro Se, alleged that Respondent Jon Francis McDermott of Investors Associates misre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant The Harrison Hills School District 94-00235 Name of Respondents Hart Securities, Inc. Kenneth Schulte REPRESENTATION Claimant The Harrison Hills School District was represented by Michael S. Yashko, Esq., Worthington, Ohio. Respondent Hart Securities, Inc. was represented by Paul S. Francis, Esq., with the law firm of E