AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Raymond E. Hospelhorn, Margaret E. Hospelhorn, and Ray Electric Defined Benefit Plan, Claimants, and No. 95-05782 Smith Barney, Inc., and Steven A. Scott, Respondents. REPRESENTATION OF PARTIES Claimants, Raymond E. Hospelhorn, Margaret E. Hospelhorn, and Ray Electric Defined Benefit Plan, were represented by Robert D. Mitchell, Esquire of Law Offic

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Albert Cohen, James Furr, Catherine Sullivan, Martin Tregnan, Patrick Tregnan, Frances E. Dodd, George Waselinko, William Mays, Marta Jonec, Bill Braiman, Molly Frick Wampler, Walter Frick Carolyn Conner-Loisel, Frank Marzullo, and Dr. Mark Somberg v. Arbitration No, 95-05781 Name of Res

NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between . Name of Claimant Town of Bay Harbor Islands 95-05778 Name of Respondents First Union Brokerage Services, Inc. Brian Hurse REPRESENTATION OF PARTIES For Claimant Town of Bay Harbor Islands (Town 11 ): Scott L Warfman, Esq. of the law firm of Bloom & Warfman, PA, Miami, Florida. For Respondents First Union Brokerage Services, Inc. ("

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Stephen H. Hamrick 95-05773 Names of Respondents Denis P. Kelleher DPK Securities, Inc. Wall Street Investor Services Denis P. Kelleher, Inc. REPRESENTATION For Claimant Stephen H. Hamrick ("Claimant") appeared Karen J. van Ingen, Esq., of the law firm Stairs Dillenbeck Finley & Merle, located in New York, New York. For Respondents Denis P. Kell

AWARD NASD Regulation, Inc.-Office of Dispute Resolution In the Matter of the Arbitration Between Michelle Talluto, Claimant, and No. 95-05749 Charles Schwab & Co., Inc. Respondent. REPRESENTATION OF PARTIES Claimant Michelle Talluto was represented by Charles A. Butler, Esquire, of Law Offices of Allen J. Counard P.C., located in Trenton, Michigan. Respondent Charles Schwab & Co., Inc. was represented by Gary H. Giaser, Esquire and Philip K

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Bob Gist and Treva Gist, Claimants, and No. 95-05748 APS Financial Corp., Peter Kenneth Aman, and Southwest Securities, Inc., Respondents, REPRESENTATION OF PARTIES Claimants Bob Gist and Treva Gist were represented by Nicholas A. Foley, Esquire, of Bush, Craddock & Reneker, located in Dallas, Texas. Respondents APS Financial Corp., Peter Ke

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James S. and Susan A. Thompson 95-05741 Name of Respondent Investors Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 6, 1995 Claimants James S. and Susan A. Thompson ("Claimants"), who appeared Pro Se, alleged that Respondent Investors Associates, Inc., ("Res

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Nancy J. Shaw 95-05740 Name of Respondents PaineWebber, Inc. Donald J. Busto CASE SUMMARY In a case filed with the NationaJ Association of Securities Dealers Regulation, Inc. on November 14, 1995 claimant Nancy J. Shaw ("Shaw"), who appeared Pro Se, alleged that respondents Donald J. Busto ("Busto") and PaineWebber, Inc, ("

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of Claimant: Deborah Damis CaseNo: 01-1112 Names of Respondents: Ohio Savings Securities, Inc. and Robert Dillon Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Claimant Deborah Damis ("Damis"), hereinafter referred to as "Claimant": Alan Foxman, Esq., Boca Raton, Florida. For Respondents Ohio Savings Securities, Inc. ("OSS") and Robert

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Louis F. Carolla 95-05739 Name of Respondents Kevin Shaughnessy Penn Capital Financial Services Third Party Respondent Donald L. Norman REPRESENTATION Claimant Louis F. Carolla ("Claimant") appeared pro se. Respondent Kevin Shaughnessy ("Shaughnessy") appeared pro se. Respondent Penn Capi