AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Stifel, Nicolaus & Company, Inc. and 95-03820 Name of Respondent Richard M. Harris REPRESENTATION OF PARTIES Stifel, Nicolaus & Company, Inc. ("Claimant") was represented by Michael J, Runzi, Esq., Stifel, Nicolaus & Company, Inc., St. Louis, Missouri. Richard M. Harris ("Respondent") appeared pro se, CASE INFORMATION Th

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Massey Wheeler Co, Ltd 95-03816 Name of Respondents) Steve Hafer; Unicomp. Inc.; Unicol, Inc.; Robert Todd Securities REPRESENTATION For Claimant: Massey Wheeler Co. Ltd. ("Massey") was represented by Raymond A. Boldt, Esq. of Mundelein, Illinois, but did not appear at hearing. For Respondents: Unicomp, Inc. ("Unico

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barbara Goodridge Douglass, Trust, Deborah Norum and Penelope Swanson, Beneficiaries, Claimants v. Davidson Trust Co. (Dadco), Bradley E. Dugdale, and John H. Davant, Respondents Case Number: 01-01932 ; Hearing Site: Seattle. Washington Nature of Dispute: Customers v Non-Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Kelly N. Brown, Esq. Irwin, Mykleb

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Theodore J, and Cheryl L. Fick 95-03815 Name of Respondents Oxford Discount Brokerage Robert R. Forker CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 8, 1995 Claimants Theodore L and Cherly L. Fick ("Claimants"), who appeared Pro Se, alleged that Respondents Oxford Discoun

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Dorothea M. Smothers; Warren C Smothers; John C, Smothers; individually and as Trustee of the John C. Smothers Children's Trust; Warrena C. Loessin, individually and as Trustee of the Warrena C. Smothers Children's Trust; J. Paul Smothers; and Lory Ann McDonald; and 95-03814 Names of Respondents Merrill Lynch Pierc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gilbert E. and Esther J. Ciocca 95-03813 Name of Respondents John L. Lembo, III Hanover, Sterling & Company, LTD. (Bankrupt) CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 8, 1995, Claimants Gilbert E. and Esther J. Ciocca (''Claimants"), who appeared Pro Se, alleged that Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Judith A. Lifson and KaJman A, Lifson 95-03812 Name of Respondent Donaldson Lufkin & Jenrette Securities CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 8, 1995, claimants Judith A. Lifson and Kaiman A. Lifson, through their representative and counsel, S. Grant Dorfman, Esq., o

AWARD NASD REGULATION, INT.. OFFICE OF DISPUTE RESOLUTION Arhiiration No. 95-03805 Name of Respondents Ion BaroL Consumer Resources International, Inc. Nevada Computer Supply Co.. Inc.. Voice & Pager West, Inc.. and Michael Bertie REPRESENTATION For Claimant: For Respondents Ion Baroi, Nevada Computer Supply Co.. I and Voice & Pager West. Inc.: nc.. Mark T. Drooks. Esq. Bird, Marclla, Boxer. Wolpert & Mat/ Los

\< NASD Arbitration No. 95-03804 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants) Khosrow Shahroozi Name of Respondent^ Kennedy, Cabot & Company REPRESENTATION For Claimant: Khosrow Shahroozi, Pro Se Mission Viejo, California For Respondent: George H. Kupper, Esq. Kennedy, Cabot & Company Beverly Hills, California CASE INFORMATION Statement of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS © National Association of Securities Dealers. Inc. In the Matter of the Arbitration Between Ail Rights Reserved II. Joseph Tedori Claimant 9503803 and First Hanover Securities, Inc.. Respondent-Third Party Claimant and Walter J. Marino Third Party Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 7. 1995. Claim