AWARD NASD REGULATION. EMC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Tod Faulkner v. • Arbitration No. . 95-06093 Name of Respondents Guy Clemente and Commonwealth Associates REPRESENTATION For Claimant: Allan H. Rockier Beverly Hills, California For Respondent Guy Clemente: Harry L. Garman, Esq. Fairfield, New Jersey For Respondent Commonwealth Associates: J. P. Wilson, Esq. Com

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Vickie D. M. Rigsby, Claimant vs. Bradley Warren Sodergren; Berthel Fisher & Co. Financial Services, Inc.; John G. Kinnard & Co., Inc.; Stifel Nicolaus & Co., Inc.; Kirkpatrick, Pettis, Smith, Polian, Inc., Respondents Case Number: 01-01128 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondent Bradley Warren Sodergren: For Responden

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Ole L. Nilssen, Claimant, and No. 95-06092 Olde Discount Corp.; Robert G. DeVita; and Bruce Brattin, REPRESENTATION OF PARTIES For Claimant: Ole L. Nilssen ("Nilssen") was represented by Thomas F. Burke, Esq., of Chicago, Illinois. For Respondents: Olde Discount Corp. ("Olde"), Robert G. DeVita ("DeVita"), and Bruce Brattin ("Brattin") w

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Salvatore Izzo, Jr. , Individually and as Custodian of the Salvatore Izzo, Jr., IRA 95-06086 Name of Respondents Dean Witter Reynolds, Inc. James W. Hughes For Claimants: Richard W. Groner, Esq. of Groner & Schieb, Tampa, FL. For Respondents: James D. Yellen, Esq. corporate counsel for Dean Witter Reynolds, Inc.fDean W

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Delores Miller 95^6079 Name of Respondent Raymond, James & Associates, Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers, Inc. on December 29,1995, claimant Delores Miller, who appeared Pro Se, alleged that respondent Raymond, James & Associates, Inc. made investments that were not suited to

AWARD NASD Regulation, Inc. In the Matter of Arbitration Between Cathy B. Derr Claimant, and No. 95-6075 Smith Barney, Inc. and William B.Campbell Respondents. REPRESENTATION OF PARTIES Claimant, Cathy B. Derr., ("Derr"), was represented by Jeffrey E. Ritter of Mullin Hoard & Brown located in Amarillo, Texas. Respondents, Smith Barney, Inc. and William B., Campbell, ("Respondents"), were represented by William A. Hohauser Vice-Presid

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Betty Richheimer, individually and as trustee of the Robert C. Richheimer Trust C, and the Robert C. Richheimer Trust C 95-06072 Name of Respondents Stifel, Nicoiaus & Co., Inc.; Christopher J. Whybrow; Donald W. Meyer REPRESENTATION For Claimants: Betty Richheimer ("Richheimer"), individually and as trustee of the Rob

N.A.S.D. AWARD , i NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Ciaimant(s) Kim D. & Betty NG 95-06061 Name of Respondents! Rickel & Associates, Inc. Richard Yu REPRESENTATION For Claimants Kim D. and Betty NG ("Claimants") appeared Ralph A. Gant, Esq., a sole practitioner located in New York, New York. For Respondent Rickel & Associates, Inc. ("Rickel") appeared Vincent P. Sarnatora, Se

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Nicholas Caricato 95-06052 Name of Respondents Smith Barney, Inc. Rickel & Associates, Inc. Don Troiano REPRESENTATION Claimant Nicholas Caricato ("Claimant") appeared pro se, For Respondent Smith Barney, Inc. ("Smith Barney") appeared Ann Parry, Esq., Associate General Counsel for Smith Barney, Inc. For Respondent Rickel & Associates, Inc. ("Ri

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Douglas K. Tucker 95-06049 Name of Respondents H. J. Meyers & Co., Inc. Andrew J, Gentry CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 28, 1995, Claimant Douglas K. Tucker ("Claimant"), who appeared Pro Se, alleged that Respondent Andrew J. Gentry ("Gentry") and H.J. Mey