N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name ia of Claimant Michael Pizitz 95-02198 Name of Respondents A.S. Goldmen & Co., Inc. Anthony Salino REPRESENTATION For Claimant, Michael Pizitz ("Pizitz"), Thomas L. Krebs, Esq. of the law firm Ritchie & Rediker, P.C. located in Birmingham, Alabama. For Respondents, A.S. Goldmen & Co. s Inc. ("Goldmen") and Anthony Salin

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Helena Jani Mary Jani Englert Helena Jani Hurley Frances Jani Neville NASD Case No. 95-02193 Name of Respondents Dean Witter Reynolds Inc. John M. Carrick REPRESENTATION For Claimants Helena Jani, Mary Jane Englert, Helena Jane Hurley and Frances Jane Neville ("claimants") appeared Richard B. Cohen, Esq. of Akabas & Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Roger and Ruth Kamm 95-02000 Name of Respondent Barren Chase Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 26, 1995, Claimants Roger and Ruth Kamm, who appeared Pro Se, alleged that Respondent Barton Chase Securities ("BCS"), made an error when Claimants reque

fc.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert and Sherry Gedulig, JTWROS 95-01998 Name of Respondents Hunter International Securities Gary A. Franklin TASK SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 26, 1995, Claimants, Robert and Sherry Gedulig, JTWROS ("Claimants"), who appeared Pro Se, alleged that Respondents,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William L. Rehana 95-01995 Name of Respondent Halpert & Co. REPRESENTATION Claimant William L. Rehana ("Claimant") was represented by Anthony 3. Horn, Esq., Philadelphia, PA. Respondent Alpert & Co. ("Respondent") was represented by Mari-Anne Pisarri, Esq., Pickard & Djinis, Washington, DC. CASE INFORMATION The Statemen

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Fred L. & Lillian M. Swann 95-01984 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Gene Randall Rhoades REPRESENTATION Claimants Fred L. and Lillian M. Swann ("Claimants") were represented by Geoffrey P. Damon, Esq., Cincinnati, OH. Respondents Merrill Lynch, Pierce, Fenner & Smith, I

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: George Spencer and Rhoda Spencer, Claimants v. First London Securities Corporation and Doug Nichols, Respondents Case Number: 01-00966 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For George Spencer and Rhoda Spencer, hereinafter referred to as "Claimants": David A. Greene, Esq., with the law firm of Hunt, Cook, Riggs, Mehr & Miller, P.A., Boca Raton, FL. Fo

*< H/22/99 THU OS:50 FAX NASD REGULATION i , --i NASD REGULATION, INC AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Name of Clamant -* H.M. Debartolojr, of Re^pipnifeptji/Third-Partv Claimant Josephthal Lyon & Ross Incorporated; 95-01977 Donald H. Hunter Name Thir-Partv Stuart Coleman & Co., Inc.; J.R. Bautista For Claimant: H, M. Debartolo, Jr. ("Debartolo") was represented by Paul J. Sussm

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Steven K. Wolfe Helen L. Wolfe Claimants NASD Regulation, Inc. v. No. 95-01975 Unicorp Financial Corp. Joe Foss & Company Joe Martin Foss Respondents REPRESENTATION OF PARTIES Steven K. Wolfe and Helen L. Wolfe ("Claimant") was represented by Reed H. Dement, Esq., Law Offices of Reed Dement, San Francisco, California. Unicorp F

NASD Arbitration No. 95-01971 W.A.5.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INCL In the matter of the Arbitration Between Name of Claimantfs) Frances R. Arrigo Name of Respondent(s) La Jolla Securities Corp. Bruce Alan Biddick Peter A. Schur Gary Wayne DePriest REPRESENTATION For Claimant: Morton Levy, Emeryville, California and Jay Jannsen, Los Altos, California For Respondents La Jolla Securities Corp, and Bruc