N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Yale and Frances Garber 96-04240 Name of Respondents Biltmore Securities, Inc. Thomas M. Pronesti CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on September 23, 1996, claimants Yale and Frances Garber ("claimants"), who appeared Pro Se ? alleged that respondents T

AWARD NASD REGTTIATIQN. INC,, OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Jeffrey C. Jewell Arbitration No. 96-04239 of Respondent f s Smith Barney Inc. David Alderman For Claimant: Katherine Hendricks, Esq., Hendricks & Lewis, Seattle, Washington For Respondents: Marion S.Chan, Esq., Smith Barney Inc., New York, New York CASE INFORMATION Statement of Claim filed: September 18, 19

N.A.S.D. REGULATION AWARD *» NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Atef A. Salam 96-04237 Name of Respondent BuckJiead Financial Corp. CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on September 23. claimant Atef Salam ("claimant"), who appeared Pro Se, alleged that respondent Buclchead Financial Corporation ("Bu

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Roger P. and Judith A. Anderson Name of Respondents Ferris Baker Watts & Company, Incorporated Gary Richman Jerald Lewis 96-04235 REPRESENTATION Claimants Roger P. and Judith A, Anderson ("Claimants") were represented by D. Christopher Only, Esq., Patton Boggs, Baltimore, MD. Respondents Fer

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC in the Matter of the Arbitration Between Name of Claimant Richard Veer man 96-04234 Name of Respondent Dean Witter Reynolds Inc. CASE SUMMVRY In :i case filed with National Association of Securities Dealers Regulation. Inc. on September 23. claimant Richard Veerman ("claimant"), who appeared Pro Se. alleged that respondent Dean Witter Reynolds. Inc. ("Dean W

NASD Regulation Inc. AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimantfg) Judith M. Cordover o cspondents') A.G. Edwards & Sons, Inc. 96-04231 REPRESENTATION Claimant Judith M. Cordover ("Cordover") appeared pro se. For Respondent A.G. Edwards & Sons, Inc. ("A.G. Edwards"): Jeff Jamieson, Esq. of A.G. Edwards, St. Louis, MO. CASE INFORMATION Statement of Claim tiled: September 23, 1996. Claimant's

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Donald L. Bolich, Saliie S. Bolich and Steven J. Bolich and 96-04229 Name of Respondent Charles Schwab & Company, Inc. REPRESENTATION OF PARTIES Donald L. Bolich, Saliie S. Bolich and Steven J. Bolich ("Claimants") were represented by Douglas W. Poling, Esq., Broomfield, Colorado. Charles Schwab & Company, Inc. ("Respondent") wa

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant May Financial Corporation Case No. 01-02137 Hearing Site: Boca Raton, Florida Name of Respondent Atlantic Coast Capital Management, LTD REPRESENTATION OF PARTIES For May Financial Corporation ("May") hereinafter referred to as "Claimant": Corbet F. Bryant, Jr., Carrington, Coleman, Sloman & Blumenthal, Dallas, Texas. Respondent Atlantic Coast Ca

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Tracey L, Dahlkamp 96-04228 Name of Respondents Smith Barney Inc. John Kuklenski CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 23, 1996. claimant Tracey L. Dahlkamp, who appeared Pro Se, alleged that as a former employee of respondent Smith Barney, Inc., she is entitled

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Patrick and Bridget Nee 96-04227 Name of Respondents Haipert & Company, Inc. Ellen (Cesarski) Feldman REPRESENTATION For Claimant Patrick and Bridget Nee, ("Claimants"), appeared John J. Blanchard, Esq., a sole practitioner located in Montvale, New Jersey. For Respondent Haipert & Company, Inc.,("Haipert"), appeared Larry Lenski, Esq., of Ravin, Greenberg &