N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent Merrill Lynch, Pierce Fenner & Smith, Inc. 94-00400 Name of Respondent/Counter-Claimant Louis Centore REPRESENTATION For Claimant/Counter-Respondent: Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch") was represented by Maria D. Dickson, Esq. and Jack D. Ballard, Esq. of Andrews & Kurth, L.L.P., lo

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of C,}ftimant Margaret Cunningham and 94-00399 Name of Respondent Prudential Securities, Inc. REPRESENTATION OF PARTIES Margaret Cunningham ("Claimant") was represented by Paul D. Hogan, Jr., Esq., Hogan and Hogan, Knoxville, Tennessee. Prudential Securities, Inc. ("Respondent") was represented by Gabriel Loubier, Esq., Prudential Se

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS May Beth Hsieh, Claimant, v. No. 94-00394 Charles Schwab & Co., Inc., Rick Bergstrom, and Julie Layton Urban Respondents REPRESENTATION OP PARTIES Claimant May Beth Hsieh ("Claimant") appeared pro se. Respondent Charles Schwab & Co., Inc. ("Respondent") was represented by Monica Goebles, Esq., of Steptoe & Johnson, Phoenix, Arizona. CASE INFORMATION Claimant's Statemen

Award NASD Dispute Resolution, Inc. In the Matter ot me Arbitration between: Names of the Claimants Robert V. Windus Winona E. Windus, JTWROS Names of the Respondents First Union Brokerage Services, Inc. Mark McKnight Kevin Rogers Case Number: 01-02910 Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Claimants Robert V. Windus and Winona E. Windus, JTWROS ("Windus"), hereinafter collectively referred to as "Claimants"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Ellis T. Booth NASD Arbitration No.94-00386 Name of fie$pondentfs) Financial Investment Network Corporation Robert Brennan REPRESENTATION For Claimant: Richard Sacks, Investors Recovery Service, Novato, CA For Respondents: David Markun, Esq., Zelle & Larson, San Francisco, CA CASE INFORMATION Statement of Claim f

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Battle Creek Inc. c/o Peter B. Sommer 94-00385 Name of Respondents Fox and Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February I? 1994, Claimant Battle Creek, Inc. c/o Peter B. Sommer, which appeared Pro Se, alleged that Respondent Fox and Company Investments, Inc. so

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert L. and Beverly L. Miller 94-00106 Name of Respondents Advantage Capital Corporation Richard E. Oil worth REPRESENTATION For Claimants, Robert and Beverly Miller, appeared Robert Miller, (pro se) For Respondent, Advantage Capital Corporation, appeared Keara M. O'Donnell, Esq., from the law firm of Piper & Marbury, Wa

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Norbert and Elke M. Klaucens Michele Klaucens-Gausselin and 94-00096 Name of Respondent Ernst & Company Paul Mohling REPRESENTATION OF PARTIES Norbert and Elke M. Klaucens and Michele Klaucens-Gausselin ("Claimants") were represented by Steven Glickman, Esq., Chuhak & Tecson, P.C., Chicago, IL. Ernst & Company ("Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NasneofClaiinant John R. Knight 94-00094 Name of Respondent John Basarani CASE SUMMARY In a claim filed with die National Association of Securities Dealers, Inc. on January 10, 1994, d John R. Knight, who appeared Pro Se, alleged that Respondent John Basarani, purchased and sold securities for his account without authorization. Claimant further

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant P. A. Graver & Associates, Inc. 94-00073 Name of Respondent HUJ Crawford & Lanford, Inc. REPRESENTATION OF PARTIES Claimant P. A. Graver & Associates, Inc. ("P. A. Graver") was represented at the hearing by William J. Bolotin, Esq. of Doyle, Bolotin & Burke, Ltd., of Chicago, Illinois. Respondent Hill Crawford & Lanford, Inc. (