AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Ray and Mary Parchment and 96-00118 Name of Respondents Kirk D. Miles, Pacific Cliffs Capital, Inc., John lams, Carroll Bennett Roodhouse, William Garmany, and Leslie Rose REPRESENTATION OF PARTIES Ray and Mary Parchment ("Claimants") were represented by Firmin A. Puricelli, Esqy, Sfel Louis, Missouri. " ^ nus, M, Kirk D. Miles Miles ("

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ira Furman and Alyce Furman, (Claimants) vs. J.W. Barclay & Co., Inc., Dexter Cube, Patrick Leahy, Joshua Chaffey, Michael J. Wills, Theo Basis, Joseph Cordi, John Cioffoletti, and John A. Bruno, (Respondents) Case Number: 00-05338 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Ira Furman ("I. Furman") and Alyce Furman ("A. Furman"), hereinafter collecti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph A, Calabrese Q6-00105 Name of Respondents Moshe Rim son Alex Shindman M. Rimson & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 10, 1996, Claimant Joseph A. Calabrese ("Claimant"), who appeared Pro Se, alleged that Respondents Moshe Rimson ("Rimson"),

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant George Feher 96-00099 Name of Respondents Smith Barney, Inc. Thomas J. Adams, Jr. REPRESENTATION For Claimant George Feher ("Claimant") appeared Peter B. Vaden, Esq. and James N. Deinlein Esq. of the law firm of Deinlein & Vaden located in Charlottesville, Virginia. For Respondents Smith Barney, Inc. ("Smi

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Michael Sanford, and 96-00090 Name of Respondent Broker Transaction Services, Inc. REPRESENTATION OF PARTIES For Claimant: Claimant Michael Sanford ("Sanford") was represented by Dino E. Viera, Esq. of Fellers, Snider, Blankenship, Bailey & Tipp in Oklahoma City, Oklahoma. For Respondent: Respondent Brokers Transaction Services,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ralphe Vawter 96-00084 Name of Respondent M. Rimson & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 4, 1996, Claimant Ralphe Vawter, who appeared Pro Se, alleged that Respondent M. Rimson & Co., Inc. ("Rimson"), failed to supervise its employee, Alex Shindman ("Shin

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp. 96-00079 Name of Respondent David Yorwerth REPRESENTATION For Claimant, GKN Securities Corp. ("Claimant"), appeared Katherine Nathan, Esq. of GKN Securities Corporation located in New York, New York. Respondent, David Yorwerth ("Yorwerth"), appeared pro-se. CASE INFORMATION Statement of Claim filed: Decembe

U -S; N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Aaron Franzblau Name of Respondents Alex Brown & Sons Incorporated Jeremy Foy S> National Association of Securities Dealer;, inc. —* 199* All Rights Reserved 95-04150 REPRESENTATION For Claimant: Barbara L. Wolf, P.A., Fort Lauderdale, FL and Arnold Y. Steinbttg^ofct Investors' Rights, Inc., Bo

AWARD National Association of Securities Dealers Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Owens Edge, Trustee of the C.A. O'Keefe, II, Trust "A," and Trustee of the C.A. O'Keefe, II, Trust "B," Claimants, v. No. 95-04140 Smith Barney, Inc., and David J. Abrahams, Respondent. REPRESENTATION OF PARTIES Claimants Owens Edge, Trustee of the C.A O'Keefe, II, Trust "A" and Trustee of the C.A. O'Keefe,

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants John M. Pellas Dolores J. Pellas and NASD Case Number: 95-04133 Name of Respondents Prudential Securities, Inc. Rankin Revel Rawlings REPRESENTATION OF PARTIES Claimants John M Pellas and Dolores J. Pellas appeared pro se. "i r. un:~ r Respondents Prudential Securities, Inc. and Rankin Revel Rawlings were represented