AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Pamela Ware, and Pamela Ware, Trustee for the Pamela Ware Revocable Living Trust DTD 7-21-87, Claimants, v. No. 93-00479 Kenneth Osier, Respondent. i REPRESENTATION OF PARTIES Claimants Pamela Ware and Pamela Ware, Trustee for the Pamela Ware Revocable Living Trust DTD 7-21-87 ("Claimants") were represented by Walter L. Baumgardner,

N.A.S.D. AWARD NATIONAL ASSOCIATION j?F SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Mared Industries Inc. Pension and Profit Sharing Trust and Edward Guttenberg NASD Arbitration No. 93-00441 Name of Respondent fs) Gruntal & Co., Inc. Ira T. Distenfield REPRESENTATION For Claimants: Bruce R. Safran, Esq., Sherman Oaks, California For Respondent Gruntal & Co., Inc.: Eric S. Hutner, Esq., Gr

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Mel F. Pervais, Claimant, v. NASD No. 93-349 Kidder. Peabody & Co.. Cruttenden & Co.,jf and Richard Adler, Respondents. Representation For Claimants: Kyle Kennelly, Julian, California, Richard DeVita, Esq. of Hoboken, New Jersey and Frederick Phillips, Esq. of Phillips, Haskett & Ingwerson, San Diego, California For Respondents Cruttenden & Co and R

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of Arbitration Between Barbara Harris Polomc', Claimant, and No. 93-00287 Delta First Financial, Inc., J.W. Dicks, and Nick Andrews, Respondents. REPRESENTATION OF PARTIES Claimant, Barbara Ham's Polome" was represented by Edward P. Watt, Hsquire of Watt & Associates, P.C.. located in Austin. Texas. Respondents, Delta First Financial, Inc. and Nick Andrews were repres

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roxanne G. Salsman, Claimant Case Number: 01-02558 v. Morgan Stanley DW, Inc. and Lanny S.Rominger, Hearing Site: Albuquerque, New Mexico Respondents NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimant, Roxanne G. Salsman ("Salsman"), hereinafter referred to as "Claimant": Thomas J. Schuchert, Esq., located i

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Roger Ulrich 93-00281 Name of Respondents) Wharton P. Whitaker Eaton Vance Distributors, Inc. REPRESENTATION Claimant, Roger Ulrich ("Ulrich") was represented by John R. Kiefner, Jr., Esq. of Riden, Earte & Kiefner, P.A., St. Petersburg, FL. Respondent, Eaton Vance Distributors, Inc. ("Eaton Vance") was represented by A. Inge Se

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael P. Hegarty Case# vs. 93-00276 Name of Respondents James Messenger Leonard Rush Jeffrey Larsen Richard C. Payson S. Allan Williamson Richard Scafidi Greg Stuart National Financial Services Corporation Financial Securities Network, Inc. Peter S. Lawrence REPRESENTATION Claimant, Michael P.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Scott H. Sweigart 93-00243 Name of Respondents J.W. Gant and Associates, Inc. Brian Sorentino Bradley Duppong Frank Louis Palumbo Sandra Lee Solomon Mark Allen Lathrop Salvatore Anthony Venezia Craig Wilson REPRESENTATION For Claimant, Scott H. Sweigert ("Sweigert"): Patricia A. Shub, Esq. of Fort Lauderdale, Florida. Fo

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants John and Donna Yankoviz 93-00186 and Name of Respondents Hamilton Investments, Inc.; Robert G. Lorente; Kom, Womack Stem & Associates, Inc.; and Dana Field REPRESENTATION QF PARTIES John and Donna Yankoviz ("Claimants") were represented by James P. Murphy, Esq. of Berry, Moorman, King & Hudson, located in Detroit

(Jtf N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants) Ermyas Amelga NASD Arbitration v. No. 93-00178 Narne of Respondents) Kidder, Peabody & Co., Inc. REPRESENTATION For Claimant: Barry B. Kaufman, Esq., Los Angeles, California For Respondent: William H. Phelps, Esq., Kidder, Peabody & Co., Inc., Los Angeles, California CASE INFORMATION Statement o