AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Rex B. Wherry and Wray H. Wherry, Claimants, and . No. 96-05579 D.E. Frey & Co., Inc., and Eric Aronson, Respondents. REPRESENTATION OF PARTIES Claimants, Rex B. Wherry and Wray H. Wherry, were represented by Joe C. Holzer, Esquire of Butler & Binion, L.L.P., in Houston, Texas. Respondents, D.E. Frey &. Co., Inc. and Eric Aronson were repres

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Howard Gensler Name of Respondent John Hiers Arbitration No. 96-05578 REPRESENTATION For Claimant: For Respondent: Mr. Howard Gensler ProSe Costa Mesa, California Mr. John Hiers ProSe Canyon Lake, California CASE INFORMATION Statement of Claim filed: Claimant's Submission Agreement signed:

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-05577 Harry Finkelstein, claimant v. Norfolk Securities Corp., Ian Hosang, Rondo Hosang and Oliver Hosang, respondents. ATTORNEYS: For Claimant Claimant appeared pro se - Brooklyn, NY. Respondents did not appear. DATE FILED: 12/16/96 CASE SUMMARY: Claimant alleged failure to follow instructions to liquidate account and deliver proceeds and unauthor

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant L. Stanley Carne, II 96-05576 Name of Respondents First Associated Securities Group, Inc. David Vangorder CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on December 16, 1996, claimant L. Stanley Carne, III ("claimant"), who appeared Pro Se, alleged that respondents First

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Martha F. Bowie and 01-01399 Southfield, Michigan American Express Financial Advisors, Inc., and Linton D. Schopp REPRESENTATION OF PARTIES Martha F. Bowie ("Claimant") was represented by Charles M. Groh, Esq., Charles M. Groh, P.C., Ann Arbor, Michigan. American Express Financial Advisors, Inc. ("AEFA") and Linton D. Schopp ("Schopp"), hereinafter, collectively

NASD REGULATION, INC. AWARD NASD REGULATION, INC. - OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Chuck B. Sorrell 96-05564 Name of Respondent Dallas Research &. Trading Inc. REPRESENTATION Claimant Chuck B. Sorrell ("Claimant") was represented by L. Bruce McDaniel, Esq. of the law firm of McDaniel & Anderson, L.L.P., Raleigh, NC Respondent Dallas Research and Trading, Inc. ("Respondent") was represen

N.A.SJX REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Earl G. and Ruth E. Helbig 96-05563 Name of Respondent Tradestar Investments, Inc. REPRESENTATION Claimants Earl G. and Ruth E. Helbig ("Claimants") appeared pro se. Respondent Tradestar Investments, Inc. ("Respondent 1 *) was represented by Kevin Wilson, Tradestar Investments, Inc., BrynMawr

NASD REGULATION. INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Beverly Thorpe 96-05561 Name of Respondents Gilford Securities Inc. Michael Kardish REPRESENTATION For Claimant Beverly Thorpe ("Claimant") appeared Donald McGarth, Esq. of the law office Falk & Siemer, LLP located in Buffalo, New York. For Respondents Gilford Securities, Inc. ("Gilford") and Michael Kardish ("Kardish"), col

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) Kevin M. Hussey Mary L. Hussey James P. Hussey v. Arbitration No. 96-05558 Name of Respondent^ Dean Witter Reynolds, Inc. REPRESENTATION For Claimants: John S. Worden, Esq., and Laura E. Gasser, Esq./Morgenstein & Jubelirer LLP, San Francisco, California For Respondent: Timm A. VerDuin, Esq., Dean Witter Reynolds,

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Fred B. Richardson. IIL Claimant. v. No. 96-05553 Legg Mason Wood Walker, Inc.. Respondent. REPRESENTATION OF PARTIES Claimant Fred B. Richardson. Ill ("Claimant") was represented by Earl S. Eichin. Jr.. Esq. of O'NeiL Eichin, Miller, Saporito & Harris located in New Orleans, Louisiana. " :: Respondent Legg Mason Wood Walker. Inc. (''Respondent"