N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elaine T. Kolodny 95-03357 Name of Respondents Olde Discount Corporation Kimble Pierce Hardman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 13, 1995, Claimant Elaine T. Kolodny ("Claimant"), who appeared Pro Se, alleged that Respondents Olde Discount Corporation ("Olde") an

N.A.S.D. AWARD ' '' '-'^ NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 95-03344 Name of Respondents v * " A Association o: Securities Dealers, h< .: Tiber J. & Gerda Somers All Rights Reservet REPRESENTATION Claimant PaineWebber, Inc. ("Claimant") was represented by James P. Flynn, Hannoch Weisman. Roseland, NJ. Respondents Tibor J. Somers (aka Te

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Christina L. Pan 95-03339 Name of Respondent Global Equities Group, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 12, 1995, Claimant Christina L. Pan ("Claimant"), who appeared Pro Se, alleged that Respondent Global Equities Group, Inc. ("Respondent"), through an unknown re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants George D. and Jane T. Reilly 9503328 ® National AJKJV.-..- f Name of Respondent Securities Dealers, l nc Alan R. Leist Planning Group, Inc. AH n- , 6 " AUR^gta. Reserverf REF'RESENTATION The Claimants appeared Pro Se. For Respondent appeared Alan R. Leist of Alan R. Leist Planning Group, Inc., Utica, New Yo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Adrianna, Frank, and Marina Ferrante Name of Resnondents First Albany Corporation Securirn^ 0cj " atj o:> c Helen Hoffman e ' s Deaie ^, i»j~ Murphy Favre, Inc. Dollar Dry Dock Investment Services, Inc " ' *"£fci$ -(-Northeast Brokerage Services Corp. First Albany Companies NASD Case No.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mark Taft 95-03320 Name of Respondent L.C. Wegard & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 11, 1995, Claimant Mark Taft, who appeared Pro 5e, alleged that Respondent L.C. Wegard & Co., Inc. ("Respondent"), sold him 1,000 shares of PDK Labs, Inc. ("PDK") and that

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert C. Wagner 95-03319 Name of Respondents Joseph J. Mandaro Investors Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July II, 1995, Claimant Robert C. Wagner, who appeared Pro Se, alleged that he held account URT-010159-1 with Respondent Investors Associates,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: National Planning Corporation, Claimant v. William Dean Sikes, n, Respondent Case Number: 01-01027 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Gerry Gunderson, Esq. National Planning Corporation Bismark, North Dakota For Respondent: William D. Sikes, II In Propria Persona Cathedral City, California CASE INFORMATION Statemen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant The Huntington Investment Company 9503318 Name of Respondents © National Association of Securities Dealers, Inc. David L. & Tana L. Hendrix All Rights Reserved CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 11, 1996, Claimant, The Huntington Investment Co. ("Claimant"), throu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas J. Dwyer 95-03317 Name of Respondent Cohig & Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July II, 1995, Claimant Thomas J. Dwyer ("Claimant"), who appeared Pro Se, alleged that Respondent Cohig & Associates, Inc. f/k/a Kober Financial Corp. ("Respondent"), c