N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-02104 Raleigh Amesbury, claimant v. Kevin T. Ducie, respondents. ATTORNEYS: For Claimant Claimant appeared pro se - Centerville, MA. For Respondent appeared Edward W. Larkin, Esq., New York, NY. DATE FILED: 5/15/96 CASE SUMMARY: Claimant alleged: Unauthorized transaction and failure to execute orders for the sale of bonds and conduct in violation of NA

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Eugene R. Emery 96-02103 Name of Respondent Paul V. Herman REPRESENTATION For Claimant Eugene R. Etneiy ("claimant") appeared Alfred J.T. Rubega, Esq., with law offices in Concord, New Hampshire. Respondent Paul V. Herman ("respondent") appeared pro se. CASE INFORMATION Statement of Claim was filed on

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Patrick Tidalgo and Jessica Dillon 96-02099 Name of Respondent Waterhouse Securities Inc, REPRESENTATION For claimants Patrick Tidalgo ("Tidalgo") and Jessica Dillon ("Dillon"), (collectively "claimants") appeared Morgan W. Bentley, Esq., located in Newark. New Jersey. For respondent, Waterhouse Securities Inc., (" Waterhouse 11

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Plpi'mant Pa^N'mb* 1 " 01-02080 John M. Plank offof 1 T?< *gporKlf v nfo HfHiring ?it p ' Washington, DC Richard T. Barney Fiserv Investor Services, Inc. Rendelle A. Yzer Yu-Dee Chang Chesapeake Investment Services, Inc. RFPRF^f IVTATTrVNr OI7 fARTTf S Claimant, John M. Plank, hereinafter referred to as "Claimant": John P. Connolly, Esq

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION » In the Matter of the Arbitration Between f Claimant Arie Seidler 96-02098 Name of Respondents Commonwealth Associates William Burke REPRESENTATION For Claimant Arie Seidler ("Claimant") appeared John E. Lawlor, Esq., a sole practitioner located in Mineola> NY. For Respondents Commonwealth Associates ("Commonwealth") and William Burke ("Burke") appeared their representativ

1 ' NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Diana Yuen 96-02097 Name of Respondents Fidelity Brokerage Services, Inc. Leonard Stecklow REPRESENTATION For claimant Diana Yuen ("claimant") appeared Robert K. Walsh, Esq., of the law offices of Bashwiner and Woods, located in Cedar Grove, New Jersey. For respondents Fidelity Brokerage Services, Inc. ("Fidelity") and Leonard Stecklow ( rt St

N.A.S.D. FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard W. & Laura W. Reed Richard W Reed & Laura W. Reed Living Trust 96-02096 Name of Respondents Retirement Investment Group Gail Ann Gen try Thomas Cannon Gail Gnseuk & Associates, IDC. TEI Strategies, Inc. Angoa Financial Services, Inc. I^EPR^ffSTATION For Claimants: Michael W. Parsley, Arbitration R

NASD Regulation, Inc., Office of Dispute Resolution Arbitration No, 96-02095; Award Page 1 of 7 NASD Regulation, Inc., Award In the Matter of Arbitration Between Rolf £. Eidbo, Claimant, and No. 96-02095 Rauscber Pierce Refsnes, Inc., Respondent. REPRESENTATION OF PARTIES Claimant, Rolf E. Eidbo ("Eidbo") was represented by Charles £. Appier, Esquire of Bennett & Weston, P.C., located in Dallas, Texas. Respondent, Rauscher Pierce Refsnes

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Government Securities Corp., Claimant., and No. 96-02092 Rhodes Securities, Inc., James G. Rhodes, and William C. Swanner, Respondents, REPRESENTATION OF PARTIES Claimant Government Securities Corp. was represented by J. Dale Wainwright, Esquire of Haynes and Boone LLP, located in Houston, Texas. Respondents Rhodes Securities, Inc., James G.

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant John "Jack" Cope v. Arbitration No. 96-02088 Name of Respondent Dean Witter Reynolds, Inc. REPRESENTATION OF PARTIES John "Jack" Cope ("Claimant") was represented by Kevin M. Seibert, Esq., Diehl, Steinheimer, Riggio, Haydel & Mordaunt, Stockton, California. Dean Witter Reynolds, Inc. ("Respondent") was represented by Timm