N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ralph W. Pieuss 95-04275 Name of Respondent M. Rimson & Co., Inc. CASE SUMMARY In a claim filed with the National Asspciation of Securities Dealers, Inc. on September 7, 1995^, Claimants Ralph W. Pieuss ("Claimant"), who appeared Pro Se, alleged that Respondent M. Rimson &J0b./Ino£- ("Respondent"), although,not licensed in the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edith Mickey 95-04274 Name of Respondents South Richmond Securities, Inc. Rickel & Associates, Inc. J.B. Oxford & Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 7, 1995 Claimant" Edith Mickey ("Claimant"), who appeared Pro Se, alleged that she held an account wit

FINAL ORDER NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between William G. Noble, Jr., Claimant, and Cohig & Associates, Inc. and Richard J. Lawrence, Respondents, In the Matter of the Arbitration Between Juanita H. Noble and William G. Noble, Jr., Claimants, and Cohig & Associates, Inc. and Richard J. Lawrence, Respondents, In the Matter of the Arbitration Between Noble I & Associates,

c NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John Elliott and Mary Mac Elliott, Claimants, -and- No. 9504270 &Bear Stearns & Co., Inc. ^ National Association of and Craig Allan Klinger, Securities Dealers, inc. Respondents. A]I R^ Reservea ' . ' -'-.T -'vA^l^ - -: ! ' . The Claimants, John Elliott and Mary Mac Elliott ("Claimants") were represented by Johiv

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant SAK Enterprises. Inc. 95-04268 Name of Respondent Otde Discount Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 7, 1995, Claimant SAK Enterprises, Inc. ("Claimant"), through its representative and President, Sydney A. Kessler, alleged that Respondent Olde Discount

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant Scottsdale Securities, Inc. Name of Respondents Bernhard and Irene Thorn and Chuck Thorn $ National Association of Securities Dealers, Inc. AH Rights Reserved NASD Arbitration No. 95-4259 REPRESENTATION For Claimant: Mark Finnegan Scottsdale Securities, Inc; St. /Louis, Missouri For Respondent: In

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Jane M. Brenna and 95-04256 Name of Resnondent Gardner Financial Services, Inc. Peter Hermanson Lawrence Bumgardner REPRESENTATION OF Jane M. Brerma ("Claimant") was represented by Russell J. Jensen, Esq., St Paul, Minnesota. >,: Gardner Financial Services, Inc. ("Respondent Gardner"), Peter Hermanson ("Respondent Her

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Robert J. Anderson, Claimant, v. No. 95-04252 V National Association Of Olde Discount Corp., and Todd A. Bukaty, Securities Dealers, inc. Respondents. All Ricnc& Rsservec REPRESENTATION OF PARTIES Claimant Robert J. Anderson was represented by Eric L. Hanson, Esq. of Holman, McCollum & Hansen, P.C. located in Prairie Village, Kansas. Respond

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Rubye Wartell v. Name of Respondents David Weiss, Neal Stein. William J, Reininger, John Klingenmeier, Alex Kahan, and Global Strategies Group, Inc. Arbitration No. 95-04251 REPRESENTATION For Claimant: For Respondent David Weiss: For Respondent Neal Stein: For Respondent William J. Reininger. For Respon

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01962 Henry J. Bieniecki, claimant vs. A.G. Edwards & Sons, Inc. and Scott Steven Moore, respondents. ATTORNEYS; Claimant appeared Pro Se, Edwardsville, IL. For Respondents appeared Michael Naccarato, Esq., in-house counsel, St. Louis, MO. DATE FILED: April 18, 2001 CASE SUMMARY: Claimant alleged that respondent failed to properly execute a sell order of BAC stock thereby causin