N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Midway Federal Credit Union 96-01680 Name of Respondents W.J. Nolan & Company, Inc. William J. Nolan Matthew Gershon REPRESENTATION For claimant Midway Federal Credit Union ("claimant") appeared its counsel F. Douglas Ross, Esq. of the law firm Odin Feldman & Pittleman located in Fairfax, Virgini

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anil Kapnr Name of Respondents Morgan Stanley & Co.. Inc. Sohan Aggarwal 96-01678 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 18, 1996, Claimant Anil Kapur ("Claimant"), who appeared Pro Se, alleged that in November-of 1994, Respondent Morgan Stanley & Co., Inc. ("MSC") t

AWARD NASD Regulation, Inc. Office of Dispute Resolution* In the Matter of the Arbitration Between John G. Kinnard and Co., Inc., Claimant, and No. 96-01673 Mark A. Miller, Respondent. REPRESENTATION OF PARTIES Claimant John G. Kinnard and Co., Inc. was represented by F. Chet Taylor, AGC of John G. Kinnard and Co., Inc. located in Minneapolis, Minnesota. Respondent Mark A. Miller was represented by Garrett T. Geiger, Esquire of Sharp Law Fir

i . N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Valerie V. Braybrooke 96-01670 Name of Respondents Kidder, Peabody & Co., Incorporated Stephen E. Brady CASE SUMMARY [n a case filed with the National Association of Securities Dealers Regulation, Inc. on April 17, 1996, claimant Valerie V. Braybrooke ("claimant"), who appeared Pro Se, alleged that respondents Stephen E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Irving Toplin 96-01669 Name of Respondent Nationwide Securities CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 17, 1996, Claimant Irving Toplin ("Claimant"), who appeared Pro Se, alleged that Respondent Nationwide Securities ("Respondent") made an unauthorized trade in his accou

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barbara X. Wiess as Personal Representative of The Estate of Louis Zinman Name of Respondent Fidelity Brokerage Services, Inc. 96-01668 © National Association of Securities Deafc« '-v;. All Rights Reserved CASE SUMMARY In a case filed with the National Association of Securities Dealers, Inc. on April 17, 1996, claimant

a N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Kim S. Bondi 96-0 1667 Name of Respondents , „ . ^^^~^^^^^^^^~ © National Association or 4k j -11 T L TV IT o c •*!. T Securities Dealers. Inc. -^Merrill Lynch Pierce Fenner & Smith Inc. Wayne Botz All Rights Reserved CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. OFFICE OF DISPUTE RESOLUTION In the Matter of Arbitration Between Gerald D. DeLuca and Rebecca L, DeLuca Claimants, and No. 96-01666 Fidelity Brokerage Services, Incorporated, FMR Corporation d/b/a Fidelity Investments, National Financial Services Corporation Respondents. , ... „ ., REPRESENTATION OF PARTIES Claimants, Gerald D. DeLuca and Rebecca L. DeLuca of Houston, Tex

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Carolyn J. Whisenant, Claimant, and No. 96-01661 Summit Brokerage Services, Inc. and Richard L. Parker, Jr. Respondents. REPRESENTATION OF PARTIES Claimant, Carolyn J. Whisenant ? was represented by W. Kirby Lockhart, Esquire of Hargis, Wood & Lockhart, located in Little Rock, Arkansas. n/.n, : Respondents, Summit Brokerage Services, Incorpo

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Mid-Atlantic Securities, Inc. John Gobble 96-01656 Name of Respondents Quaker Securities Inc. Jack A. Boye REPRESENTATION Claimants Mid-Atlantic Securities, Inc. and John Gobble were represented by Bill H. McKinnon, Esq., Cope, Olson & Yofiy, Newport News, VA. Respondent Quaker Securities, Inc. ("Quaker") was r