N.A.S D AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard V. Nguyen 95-03801 Name of Respondent Providential Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 7, 1995, Claimant Richard V. Nguyen ("Claimant"), who appeared Pro Se, alleged that Respondent Providential Securities, Inc. ("Respondent"), withheld commis

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant A. Kent Johnson and 95-03796 Name of Respondent Joseph Roberts & Co., Inc. Michael Knight REPRESENTATION OF PARTIES A, Kent Johnson ("Claimant") appeared pro se. Joseph Roberts & Co., Inc. ("Respondent Joseph Roberts") and Michael Knight ("Respondent Knight")(collectively as "Respondents") were represented by Paul Bazil,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of fr^ P.laimantg Pflgfr Timber- John and Joann Vaughan; and, William C. Ferrill A.G. Edwards & Sons, Inc.; Josephthal & Co., Inc.; and SG Cowen Securities Corp. Hiring Site" Dallas, Texas RFPP^< 2F r TVTATTm\[ OF Claimants John and Joann Vaughan ("Vaughn") and William C. Ferrill ("Ferri!!"), hereinafter collectively referred to as "Claimants," were repre

NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Laura Pickering and Ila Poague, Individually, and as Co-Trustees of the Poague Revocable Trust Arbitration No. 95-03795 Name of Respondent(s) Dain Bosworth Incorporated Emilio Gallo REPRESENTATION For Claimants: Robert L. Ackerman, Esq., Ackerman, DeWenter & Huntsberger, P.C., Springfield, Oregon For Respondents: Mark A. T

NAS!) REGULATION AWARD In the Matter of the Arbitration Between Name ^LQafoiaru George W Fogleinan 95-03791 Name of Respondent Christopher Testerman REPRESENTATION. For claimant George W. Fogleman ("claimant") appeared John F. Bloss, Fsq. of the law offices Clark. Wharton & Berry located in Greensboro. North Carolina. For respondent Christopher Testerman ("respondent") appeared Michael Q. Carey, Esq. of the law offices Carey & Associates loc

AWARD NASD REGULATION, INC, In the Matter of the Arbitration Between Name of Claimant Mary Cassella 95-03783 Name of Respondent Smith Barney, Inc. (n/k/a Salomon Smith Barney, Inc.) NASD Case No. REPRESENTATION Claimant Mary Cassella ("Claimant") was represented by Jeffrey L. Liddie, Esq. and Christopher C. Panarella, Esq. of the law firm of Liddie & Robinson, New York, NY. Respondent Smith Barney, Inc. ("Respondent") was represented by

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Gerald J. and Beverly J. Zukerman, and the Gerald and Beverly Estate __ Revocable Trust, Claimants, v. 95-03779 OLDE Discount Corporation, Respondent. REPRESENTATION OF PARTIES Gerald J. and Beverly J. Zukerman, and the Gerald and Beverly Estate Revocable Trust ("Claimants") appeared on their own behalf. OLDE Discount Corporation ("Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants) Scott R. Trimingham and Donna I, Trimingham NASD Arbitration No. 95-3776 Name of Respondents) IDS Financial Services, Inc., American Express Financial Advisors, and Edward T. Kelly For Claimant: For Respondent: REPRESENTATION Scott R. Trimingham, Pro Se Redondo Beach, California Samuel Y. Edgerton Einhor

o N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Teh Y. Hu and Hong Ha 95-03775 Name of Respondent(s) Empire State Securities Ann Ling Shih REPRESENTATION For Claimants Teh Y. Hu and Hong Hu ("Claimants") appeared Martin Shark, Esq. a sole practitioner located in Hackensack, New Jersey. For Respondent Empire State Securities (""Empire") appeared John E. MacDonald,

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Lucy Becker and 95-03773 Names of Respondents PaineWebber, Incorporated and Philip Evans REPRESENTATION OF PARTIES Lucy Becker ("Claimant") was represented by Michael D. Napoli, Esq. of Clements, O'Neill, Pierce & Nickens located in Houston, TX. PaineWebber, Inc. and Philip Evans ("Respondent") were represented by Andrew