NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Laurie Ventura 9544307 Name of Resnondents T _ + *A • c • fc National Association of Investment Advisory Services Securities Dcaters In Estate of Emery E. Boudreau All Ri< rr,t s R- REPRESENTATION Claimant Laurie Ventura ("Claimant") was represented by John P. Connolly, Esq. of Law Offices of Jo

NASD Regulation, Inc. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Sophie Bernardet Kristian Srb Derek Layton 95-04304 Name of Respondents RAS Securities Corp. Chatham Capital Partners Barry Wayne Blank REPRESENTATION For Claimants Sophie Bernardet ("Bernardet"), Kristian Srb ("Srb") and Derek Layton ("Layton")(collectively "Claimants") appeared Harry H. Wise, III, Esq., New York,

%D AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between PRUDENTIAL SECURITIES INCORPORATED, Claimant, -and- No. 95-04295 ROBERT T. ZOLLER Respondent. REPRESENTATION OF ^^^"Q For Claimant: Prudential Securities Incorporated was represented by Steven P. Gomberg,'Esq., Gomberg Kane & Fischer, Ltd., 208 South LaSalle Street-Suite 1800, Chicago, Illinois< 60604: ;IP For Respondent: Robert T. Zol

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) John T. and Jeri A. Snyder 95-04290 Name of Respondents') Smith Barney Shearson, Inc., n/k/a Smith Barney, Inc. Mary Kay Voss CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 8, 1995 and in an amended claim filed on February 16, 1996 Claimants John T. and Jeri A. Snyder, who

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donna Marie Rocco 95-04289 Name of Respondent Dreyfus Investment Services Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 8, 1995 Claimant ^Bbnha^atfeVRocw-^ Se, alleged'tot she held account jS&369i$8$&1^ with Respondent Dreyfus Investment Services Corporation ("R

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Elias and Anna Karaffa Case No. vs. 95-04282 Name of Respondents Chase Securities First Montauk Securities Paul Giarmoleo Ty Rodriguez Robert T. Kirk Paul Deperino REPRESENTATION For Claimants Elias and Anna Karaffa ("Claimants") appeared Peter C. McGinnis, feq.pa ir sote practitioner, located in Poughkeepsie, New York. pnccicioc er

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS & [n the Matter of the Arbitration Between Name of Claimant Vanderbilt Securities 95-04280 Name of Resi Otra Clearing, Inc. J.B. Oxford & Co. For Claimant Vanderbilt Securities ("Claimant") appeared Herbert M. Jacobi, Esq., New York City, New York. For Respondent Otra Clearing, Inc. ("Otra") appeared Stephen B. Wexler, Esq. of the law firm of Wexler & Burkhart located in Mitchel F

N.A.S.D. AWARD NATIONAL, ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Norman Lebedin 9504277 Name of Resnondents jJtfiric Pereman ©National Association-oi ' /-n. • .. ™, rj- Securities Dealers. Inc. Christian T. Rizzo Martin Berk All Rights Reserved filed with the National Association of Securities Dealers, Inc. on September timely"ex&tite'a'"sell order. ClaimantfteheY alleged that betwe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:Q1-01963 Pete Kohl and George Kohl, claimants vs. Protective Group Securities, Michael Flannigan anc Tom Mclntyre, respondents. ATTORNEYS Claimants appeared Pro Se, Minneapolis, MN. For Respondents Protective Group Securities and Michael Flannigan appeared Jule M. Hannaford, IV s Esq., of the firm Kelly. Hannaford & Battles, P.A., Minneapolis, MN. Respondent Tom Mclntyre appear

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS En the Matter of the Arbitration Between Name of Claimant John L. McCormick 95-04276 Name of Respondent Kemper Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 7,1995^ Oaimantied v iih the N? John L. McCormick ("Claimant"), who appeared Pro Se, alleged that Respondent Kemper Securities, ttcCcrmidk ('Cl ^ ("Respondent