N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant 95-03950 Name of Respondent Douglas McCaskey REPRESENTATION For Claimant Robert Thomas Securities. Inc. appeared John N. Critchiow, Esq., in-house counsel at Robert Thomas Securities, Inc. Respondent Douglas McCaskey did not enter an appearance in this matter. CASE INFORMATION The Statement of Claim was filed on August 16,

NASD REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John V. Harper William M. and EHnor Harper Cornelia A. Wise Arthur F. Cohen 95-03946 Name of Respondents Collner Higgins & Anderson, Inc. Kenneth Darrell Arrington REPRESENTATION For Claimants John V. Harper, William M. and Elinor Harper, Cornelia A. Wise and Arthur F. Cohen ("Claimants") appeared Will

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Adam Stolpen Carolyn Wigder 95-03945 Name of Resppridepts Gnmtal & Co., Inc. Morgan Stanley & Co., Inc. Duntiill Equities Inc. Andre Lopoukhine REPRESENTATION For Claimant Adam Stolpen and Carolyn Wigder (collectively "Claimants") appeared Edward G. Werner, Esq., of Kalmus & Martuscello, located in New York, New York. Fo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dan Beech 95-03939 Name of Respondent M. Rimson & Co., Inc. Chris Kovacevich CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 15, 1995 Claimant Dan Beech, who appeared Pro Se T alleged that Respondent M. Rimson & Co., Inc., through its account executive, Respondent Ch

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAJLERS In the Matter of the Arbitration Between Name of Claimant(s) William Todd Canard 95-03938 Name of Respondem(s) Cohig & Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 15, 1995 Claimant William Todd Conard, through his representative, Jean M. Lang of Investment Disputes Arbitration Center, Largo, FL, alleged that Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Georgene and Josephine Mesco 95-03933 Name _ofRespondents Christine Wilmoth-Colbert John Hancock Distributors, Inc. John Hancock Mutual Life Ins. Co. Carlos Ohlbaum CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 15, 1995 Claimants Georgene and Josephine Mesco, who appe

N.A S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In (he Matter of the Arbitration Between Name of Claimants Joseph and Deidra Siracusa 95-03920 Name of Respondents Ernst &. Company Elliott Mittler CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 15, 1995 Claimants Joseph and Deidra Siracusa ("Claimants"), who appeared Pro Se, alleged that they held an account with Respondent Ernst

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant GVR Company 95-03918 Name of Respondent AAA Stockbrokers, Inc. REPRESENTATION For Claimant: GVR Company ("GVR") was represented by James E. Dahl, Esq. of James E. Dahl & Associates, located in Chicago, Illinois. For Respondent: AAA Stockbrokers, Inc. ("AAA") did not appear at hearing, but was represented by Jonathan A. Pace

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS fn the Matter of the Arbitration Between Name of Claimants} Allen & Company of Florida, Inc. 95-03916 Name of Resnondent(s) Jennings Scott Simms CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 14, 1995 Claimant Allen & Company of Florida, Inc., through its Vice President, Frederick O. Kraus, Jr., alleged that Respondent Jennings Scott

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Gary H. Reaves 95-03915 Name of Respondents Wheat First Securities, Inc. Colin C. "Cam" Murchison REPRESENTATION Claimant Gary H. Reaves ("Claimant") was represented by William H. Lindsey, Esquire, of the law firm of William H. Lindsey, P.C., Salem, Virginia. Respondent Colin C. Murchison ("Murchison")