N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elmer Cipala 96-01420 Name of Respondent Piper Jaffray Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 1, 1996 Claimant Elmer Cipala ("Claimant"), who appeared Pro Se, alleged that Respondent Piper Jaffray Inc. ("Respondent") made unsuitable investment decisions for the Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Francis Kent Manieson 96-01419 Name of Respondents Chatfield Dean & Co. Inc. Mark Greven CASE SUMMARY In a claim filed with the National Association of Securities Dealer, Inc. on April 1, 1996, Claimant Francis Kent Manieson ("Claimant"), who appeared Pro Se, alleged that Respondents Mark Greven ("Greven") and Chatfield Dea

N.A.S.D. AWARD ^ NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Walter A. and Olga E. Schmidt Family Trust 96-01417 Name of Respondent Cowen & Company Lam Wagner Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 1, 1996 Claimants Walter A. and Olga E. Schmidt of the Schmidt Family Trust ("Claimants"), through their representative, St

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Charles Melbuer and 96-01414 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Jerry E. Smith REPRESENTATION OF PARTIES Charles Melbuer ("Claimant") was represented by Joseph R. Winston, Esq., Winston & Liston, P.C., Colorado Springs, Colorado and Ronald A. Peterson, J.D., Colorado Springs, Colorado. Merrill Lyn

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marvin Deutsch 96-01405 Name of Respondents APS Financial Corporation Peter K. Aman CASE SUMMARY In a case filed with the National Association of Securities Dealers, Inc. on March 29, 1996, claimant Marvin Deutsch ("claimant"), who appeared Pro Se, alleged that respondents APS Financial Corporation ("APS") and Peter K. Aman

Arbitration & Mediation National Association < 'f Securities Dealers,Inc. * NASD Financial Center * 33 Whitehall Street * New York.NY 10004 * Fax 2 12-858-4429 Washington DC Satellite office at: 1735 K Street, NW * Washington. DC 20006 * Fax 202-728-6952 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard J. Burke %-01404 Name of Respondent Gregory Roth Gary L. Stark

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Moschillo (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Michael Maglio (Respondents) Case Number: 01-02014 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant Michael Moschillo, hereinafter referred to as "Claimant": William D. Sanders, Esq., Aipert Butler Sanders & Norton, P.C., West Orange, NJ. Respondents Merrill Lynch, Pierce, Fenner & Smith

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Zoltan and Magdalena Magyar 96-01402 Name of Respondents Nori, Hennion, Walsh, Inc. U.S. Clearing Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 29, 1996, Claimants Zoltyan and Magdalena Magyar ("Claimants"), who appeared Pro Se, alleged that Respondent Nori, He

N.A.S.D. AWARD J NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward and Nonie Weber 96-01401 Name of Respondent Charles Schwab & Company, Inc. Bart Sayyah CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 29, 1996, claimants Edward and Nonie Weber ("claimants"), who appeared through Ed Weber ("claimant"), alleged that respondents C

NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant(si Grace K. Morgan Arbitration No. 96-01395 Carrie of Respondent(s) Andover Securities, Inc. Gary Bohling REPRESENTATION For Claimant: J. Leo Federman, Investors Rights Association, Inc., Santa Barbara, California For Respondent Andover Securities, Inc.: Stephen A. Russell, Andover Securities, Inc., Kansas City, Missouri For Respondent Gary Bohling: G