•/> N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ira Kaplan 9.503220 Name of Respondents © National Association of Securities Dea!ers, Inc. . Rimson & Co., Inc. James Shekhtman All Rights Reserved REPRESENTATION For Claimant Ira Kaplan appeared John E. Lawlor, Esq., of Garden City, NY. Respondent James Shekhtman appeared via telephone. Respondent M. Rimson & C

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Barbara J. Geary and Michael S. Pesavento Claimants, v. No. 95-03211 Paine Webber, Inc., James MacDonald and James Layden Respondents. REPRESENTATION OF PARTIES Claimants Barbara J. Cleary ("Cleary") and Michael S. Pesavento (Tesavento 11 ) (collectively referred to as "Claimants") were represented by Barbara J. Cleary. Claimants

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Robert F. Lasher, Claimant, 95-03206 -against- Name of Respondent^ Reich & Co., a Division of Fahnestock & Co., Inc., and Reich & Co., Inc. Respondents. REPRESENTATION For Claimant Robert F. Lasher appeared Timothy J. O'Connor, Esq. of the law firm of Ainsworth, Sullivan, Tracy, Knauf, Warner & Ruslander, P.C., loc

NASD REGULATION, INC. AWARD ^ NASD REGULATION, INC. o / -i 7 Li the Matter of the Arbitration Between Name of < Laura Harryman 95-03195 A-G. Edwards & SOBS, tec. Smith Barney Sbcarson, IDC. JocSaporito Jeff Wang DougKcotfidd Kevin Kennedy AlftnBorko For Claimant Laura Banyman {"daraanr*) appear^QiarieiJ. York, New York. For Retponrtfflflt A.G. Edwards & Sons, lac. rEdward**), Kevin Kennedy ("Kennedy"), David H

NASD Regulation, lnc. : Dispute Resoutif,"- 515 E. Las Olas Blvd., Suite 1100 Fort Lauderdale, FL 3330? 305-522-7391 N-A.S.D. AWARD 305-522-7403-Fax N OK SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants William A. and Rita L. O'Keele 95-03189 Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and Lois W. Appleby REPRESENTATION For Claimants. William A. and Rita L. G'Keete ("the O'

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Philip L. Haik, Jr. Philip L. Haik, Jr. DDS Employee Profit Sharing Trust and NASD Case Number: 95-03181 Name of Respondents Joseph Charles & Associates, Inc. Craig Fischer REPRESENTATION OF PARTIES Claimants Philip L. Haik, Jr. and Philip L. Haik, Jr. DDS Employee Profit Sharing Trust were represented by Brian P. Charbo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John M. Johnson 95-03176 Name of Respondent Smith Barney Shearson, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 30, 1995, Claimant John M. Johnson ("Claimant"), who appeared Pro Se, alleged that Respondent Smith Barney Shearson, Inc. ("Respondent") failed to redeem his Ray

NASD AWARD NATIONAL, ASSOCIATION OFSECUR1TIES DEALERS, INC. In the Matter of the Arbitration Between George Heilen and 95-03164 Name of Respondents Ccmnterciaimants Smith, Benton & Hughes, Inc. MichaelZaman ftf PpE*qf T TVrfA7JO]>i Of PARTIES George Helto CCtoimaDf) was represented by Miles M. Cask Esq., Geish&Danielson, Denver, Colorado. Smith, Benu>n & Hughes, Inc. ("Respondent Smith, Benton & Hughes") and Michael Zanaan ("Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Corna Securities, Inc. 95-03156 Name of Respondent E. Jack Davis CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 29, 1995, Claimant Corna Securities, Inc. through its representative, Alan M. Blue, Esq., located in Westerville, OH, alleged that Respondent E. Jack Davis, failed to p

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Stephen G. Loy III (Claimant) v. Dean Witter Reynolds, Inc. a/k/a Morgan Stanley Dean Witter, Inc. (Respondent) Case Number: 01-01007 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant Stephen G. Loy III, hereinafter referred to as "Claimant," was represented by Mark C. Walter, Esq. of Ross, Banks, Cron & Gavin, P.C. Houston, Texas. Respondent Dean Witter