N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sands Brothers & Co., Ltd. 94-00067 Name of Respondent Martin Rabovich REPRESENTATION For Claimant: Richard A. Roth, Esq. of Littman & Krooks, P.C., New York, New York. For Respondent: Don B. Panush, Esq. of Jacoby & Meyers, New York, New York. CASE INFORMATION Statement of Claim filed: December 23, 1993. Claima

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between * Names of Claimants Gary & Bonnie Scholfield 94-00060 Names of Respondents Norcross Securities Steven M. Nelson REPRESENTATION Claimants Gary and Bonnie Scholfield ("Claimants") were represented at the bearing by Bruce E. Baldinger, Esq. Somerville, New Jersey. Respondents Norcross Securities, Inc. ("Norcross") and Steven M. Nelson ("N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTU1TES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael B. Kincaid 94-00058 NamejjjfResDondents Kemper Securities, Inc. Thomas V. Meaglia CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 4, 1994, Claimant Michael B. Kincaid, who appeared Pro Se, alleged that he invested $9,500.00 of his retirement money in the Aetna Real

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Tun O'Connor 94-00055 Name of Respondents Allied Capital Group, Inc. Michael David Sadler CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 4, 1994, Claimant Tim O'Connor, who appeared Pro Se, alleged that he purchased 15,000 shares of C.I.P. Holdings from Respondent Michael

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mark Chalfm 94-00049 Name of Respondents Bear Stearns & Co., Inc. Edward B. Martin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 4, 1994, Claimant Mark Chalfin, who appeared Pro Se, alleged that he gave an order to buy 200 shares of MFS Communications Co., Inc. ("MFS")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds, Inc. 94-00048 Name of Respondent Steven and Shelley Telsey CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 4, 1994, Claimant Dean Witter Reynolds, Inc., through its representative, B. Carole Hoffman, Esq., Ocean, New Jersey, alleged that Respondents Steven

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant David and Susan Miroballi and 94-00041 Name of Respondent Hamilton Investments, Inc. Andrew Martin Principal Financial Securities. Inc. REPRESENTATION OF PARTIES David and Susan Miroballi ("Claimants") were represented by Steve Senderowitz, Esq., Schwartz Cooper Greenberger & Krauss, Chicago, Illinois. Hamilton Invest

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, REGULATION In the Matter of the Arbitration Between Name of Claimant First Albany Corporation Award No. vs. 94-00038 Name of Respondent Jonathan Lee REPRESENTATION For Claimant, First Albany Corporation ("Claimant"), appeared Joseph P. Carmichael, Esq. who is a sole practitioner at Salem, Massachusetts. For Respondent, Jonathan F. Lee ("Respondent"), appeared Bruce W. Warren, Esq

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Henry R. and Mary Jane Durrell 94-00036 Name of Respondents Merrill Lynch. Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 3, 1994, Claimants Henry R. and Mary Jane Durrell. who appeared Pro Se, alleged that they purchased five shares of SCA Tax Ex

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between * Name of Claimants Joan Ten Hoor & James Dobson 94-00030 Name of Respondent Ellen Schowalter REPRESENTATION Claimants, Joan Ten Hoor and James Dobson were represented by Bonnie L. Macfarlane, Esq., Island Lake, Illinois. Respondent, Ellen Schowalter was represented by Daniel L. Schwartz, Esq. of Day, Berry & Howard, Hartford, Connectic