N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05193 Roy L. & Joan V. Dudman, claimants v. Bryan D. Kingshiil and Merrill Lynch, Pierce, Fenner & Smith, Inc., respondents. ATTORNEYS: For Claimant Claimants appeared Pro Se - Luling, TX For Respondents appeared Mark S. Ryan, Esq. - New York, NY DATE FILED: November 21, 1996. CASE SUMMARY: Claimant alleged misrepresentation and unsuitability in the sa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf tfrff riairnant Pa< ;p Nnmh^r: 01-02235 Nancy Hughes nf thf Respondent'; Hearing Sljtp- Philadelphia, PA Joseph A. Papa First Union Securities, Inc. PAPTTFS Claimant, Nancy Hughes ("Hughes"), hereinafter referred to as "Claimant": Jeffrey N. Kale, Esq., Law Offices of Jeffery N. Kale, Cherry Hill, NJ. Respondents, Joseph A. Papa ("Papa") and First Union Securities, Inc

AWARD NASD Regulation, Incorporated Office of Dispute Resolution In the Matter of Arbitration Between Andrew Zuhl and Eloise Zuhl, Claimants, and No. 96-05191 Smith Barney Inc., John Lohrenz, and Carrie B. Morich, Respondents. REPRESENTATION OF PARTIES Claimants, Andrew Zuhl and Eloise Zuhl (hereinafter collectively referred to as "Claimants?), were represented by Paul J. Roshka, Jr., Esquire of Roshka Heyman & DeWulf, located to ^hoeriix, •*

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Wa-Il S. Dahir v. Arbitration No. 96-05190 Name of Respondents Citicorp Investment Services, Inc. and Frank Anthony Consalo HI REPRESENTATION For Claimant: William F. Davis, Esq. Pacific Palisades, California For Respondents: W. Douglas Kari, Esq. Douglas E. Love, Esq. Orrick, Henington & Sutcliffe LLP Los Angel

AWARD NASD Regulation, Incorporated Office of Dispute Resolution In the Matter of Arbitration Between Ann Brewster, Claimant, and No, 96-05188 J.W. Charles Securities, Inc., J.W. Charles Clearing Corp., The Machaira Group, Inc., and Guy W. Courtney, Respondents. REPRESENTATION OF PARTIES For claimant: Arm Brewster ("Brewster") was represented by Howard B. Prossnixz, Es'qv of Law- Offices of Howard Prossrurz, located in Chicago, Illinois. Vi!

AWARD NASD Regulation. Inc. Office of. Dispute Resolution In the Matter of the Arbitration Between J.W. Korth & Company, a Michigan and Florida Limited Partnership, Claimant. v. No. 96-05184 The Chicago Corporation, a Delaware Corporation, and Jeffrey P. Novak, an individual. Respondents. i - REPRESENTATION OF PARTIES Claimant J.W. Korth & Company ("Claimant" or "J.W. Korth") was represented by>Sv:1hbmas - • >* Wienner: Esq. and

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Daniel Hawkinson and Judith Hawkinson, Claimants vs. Landmark International Equities, Eric J. Aronson, William Nunziato, Howard Brett Berger and Martin Herbert Drayer, Respondents. Case Number: 96-5178 Hearing Site: Milwaukee, Wisconsin REPRESENTATION OF PARTIES Claimant, Daniel Hawkinson ("D. Hawkinson") and Judith Hawkinson ("J. Hawkinson"), hereinafter collectively referred to as "

NASD Regulation, Inc. IB tbe Mawer of ihe Arbitration Between: Smith BeiKOn & Hugjjes, Inc., Claimants V. Jay William Taylor, Respondent v. Michael Nrni Zaman, and Claudia Jane Zaman. Ttod Pany Respondents Hearing Site: Los Angeles, California For Claimani md Thin} Party Respondcnis: Obcit A- Pb33ips Ilben A. Phillips Los Angeles, California For RcsponddU Jay William Taylor C. Tunoihy Srooot, Esq. Law Offices of C, Timothy Smooc

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Patricia R. Maki and Kathleen S. Hodgkiss. Co-Trustees of the Robert M Hynes Declaration of Trust U/A/D June 21, 1994, Claimants. and No. 96-05163 Primevest Financial Services, Inc., and Carroll Baldwin, Respondents. REPRESENTATION OF PARTIES Claimants Patricia R. Maki and Kathleen S. Hodgkiss, Co-Trustees of the Robert M; Hynes: Declara

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Somayaji Ramamurthy 96-05156 Name of Respondents Marc Rosen Edward McKay Buttonwood Securities Securities Planners, Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on November 19, 1996, claimant Somayaji Ramamurthy ("claimant"), who appea