N.A.S.D. ARBITRATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between ' Name of Claimant Robert Wilder 96-04352 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on September 30, 1996, claimant Robert Wilder ("claimant"), who appeared Pro Se, alleged that respondent Merrill Lynch,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Fn the Matter of the Arbitration Between Name of Claimant Harlan P. Wallingford 96-04351 Name of Respondents Investors Associates, Inc John J. Nalick Edward Powers CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on September 30. 1996. claimant Harlan Wallingford ("Wallingford"), who appeared Pro Se, alleged that respondents Investors

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAJ RftS !n the Matter of the Arbitration Between Mechie Nebeiizalil 96-0434? Nationwide Securities Corporation CASC S In a case filed with tite National A&socUtinn «f Securities Dealers Regulation, Inc. on September 30, 1996, clttimaAt Mechie NebenzahJ ("claimant") wlw appeared l>ro Se. alleged that respondent Nationwide Securities Corporation ("Nationwide 11 ) failed fo credit her rvoumnt.

AWARD NASD REGULATION INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Carolyn Lassise, Claimant v. Arbitration No. 96-04346 Cameron Evans, John Doe, Titan/Value Equities Group, Franklin/Templeton Distributors, Inc., Respondents Titan/Value Equities Group, Inc., Cross-Claimant, v. Cameron Evans; Franklin/Templeton Distributors, Inc.; Oppenheimer Funds Distributors, Inc., Cross-Respondents Franklin/Templ

N.A.S.-D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anne E. Godshaw x 96-04345 Name of Respondent Robert L. Tucker CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on September 30, 1996, claimant Anne Godshaw ("claimant") who appeared Pro Se, alleged that respondent Robert L. Tucker ("Tucker") called her and suggested that sh

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James M. Ahlstedt, Jeffrey D. Franklin, and David Unsworth, Claimants v. Broadmark Capital Corporation, Stephen J. DeGroat, and Joseph L. Schocken, Respondents Case Number: 01-02144 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Anthony M. Englese, Esq. Law Offices of Anthony M. Englese San Francisco, California For Respondents: Gerald

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Patricia A. Woods. Claimant, v. 96-04344 Stifel. Nicohius & Co., Inc.. and Joseph J. Weinrich. Respondents. REPRESENTATION OF PARTIES Patricia .\. Woods ("Claimant") was represented by Thomas O. Baker. Hsq. of Baker Sterchi Cowdeti & Rice. L.L.C.. Kansas City. Missouri. Stifel. Nicolaus& Co., Inc. ("SNC") was represented by John \V. Shaw. Es

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Isaac Moradi, Jacob Moradi and Victoria Moradi, Claimants vs. National Financial Services Corporation, Respondent, and Steven L. Eitman, Respondent Case Number: 96-04343 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Isaac Moradi, Jacob Moradi and Victoria Moradi, (collectively "Claimants"): Jay D. Fischer, Esq., Alan C. Thomas, Esq. and Reena Forst, Esq., of Fi

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Betty J. Ryan. Claimant, v. No. 96-04336 American Express. American Express Financial Advisors. Inc.. IDS Life Insurance Company. Connie Johnston, and Cindy Schwert. Respondents. REPRESENTATION OF PARTIES Claimant Betty J. Ryan ("Claimant") was represented by Anthony V. Trogah. I-sq. of Weisman. Trogan. Young & Schloss, P.C. located

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betwee'n \ - Names of Gaimants ,_,^ Robert J. and Ruth M. Nist Robert J. Nist IRA and Ruth M. Nist IRA 96-04325 Names of Respondents Houston Investment Group Sunpoint Securities, Inc. Aragon Financial Services, Inc. Cynthia M. Cook Gail Griseuk-Gentry Thomas Cannon REPRESENTATION For Claimants: Jeffrey P. Coleman, Esq., Clearwat