N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sally Van Name 94-00381 Name of Respondents PaineWebber, Inc. Dan Porter CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 1, 1994, Claimant Sally Van Name, through her representative, David Liebrander, Esq., Woodland Hills, California, alleged that Respondents PaineWebber,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bijan F. Hagh 94-00380 Name of Respondent Kenneth Fiacco CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February I, 1994, Claimant Bijan F. Hagh, who appeared Pro Se, alleged that Respondent Kenneth Fiacco of the firm F.D. Roberts .Securities, Inc. violated securities industry regulat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Allan S. Lyons 94-00379 Name of Respondents Benjamin & Jerold Brokerage CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 31,-1994, claimant Allan S. Lyons, who appeared Pro Se, alleged that he opened an account with Respondent Benjamin and Jerold Brokerage, since their adve

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gilbert Belair 94-00372 of Resncnt Fidelity Investments REPRESENTATION Claimant Gilbert Belair ("Belair") was represented at the hearing by Debra G. Speyer, Esq. of Philadelphia, Pennsylvania. Respondent Fidelity Investments ("Fidelity") was represented at the hearing by Donna M. Dever, Esq. of Stradley Ronon Stevens & Youn

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rhoda K. Bailey Award # vs. 94-00371 Name of Respondent Thomas G. Wing REPRESENTATION For Claimant: Rhoda K. Bailey ("Claimant"), Joseph P. Carmichael, Esq. located in Boston, Massachusetts. For Respondent: Thomas G. Wing, ("Respondent"), Edward T. Robinson, Esq. of Seegel, Robinson & Lipshutz located in Wellesley, Mass

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant John W. Hobble 94-00367 Name of Respondents Dean Winer Reynolds Inc. Helen Dachter Stephen J. DiModica REPRESENTATION For Claimant John W. Hobble ("Hobble") appeared Daniel B. Berman, Esq., of the law offices of Hancock & Estabrook located in Syracuse, New York. For Respondents Dean Witter Reynolds Inc. ("Dean Winer"), Helen Dachter ("Dachter") and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tlit Matter of the Arbitration Between Xante or Claimant Bradford Tiffany 94-00362 Name of Respondents Dean Witter Reynolds Inc. Michael Figler REPRESENTATION For Claimant: Charles J. Engel. Esq., Syracuse, New York. For Respondents: Edward W. Larkin. Esq. of Dean Witter Reynolds. Inc.. located in New York. New York. ' " CASE INFORMATION Statement of Claim filed: Januar

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between David Ariss, Claimant, v. NASD No. 94-359 Robert Thomas Securities, Inc., Raymond James and Associates, Inc., Anas Taraji, Flora Brody, individually and as Administrator of the Estate of Heywood Brody, Deceased, Respondents. Representation For Claimant: Lawrence Phillips, Esq. of Bizar & Martin, New York, New York For Respondent Robert Thomas Se

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Stephen R. and Susan M. Berger and 94-00358 A.G. Edwards & Sons, Inc. and James Laughlin REPRESENTATION QF PARTIES Claimants, Stephen R. and Susan M. Berger, were represented by Stuart R. Berkowitz, Esq. of Platke & Berkowitz, St. Louis, MO. Respondents, A.G. Edwards & Sons, Inc. and James Laughlin, were represented by M. Jane Matoesian, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John A. Miller 94-00353 Name of Respondent Thomas James Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 31, 1994, Claimant John A. Miller, who appeared Pro Se, alleged that Respondent Thomas James Associates, Inc. made misrepresentations and unauthorized transa