NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Barbara Kahn vs. Case No. 95-04163 Names of Respondents David Lerner Associates, Inc. Martin Lerner REPRESENTATION For Claimant Barbara Kahn ("Claimant") appeared Dan A. Druz, Esq., a sole practitioner located in Manasquan, New Jersey. For Respondent David Lerner Associates, Inc. ("David Lerner Associates") and Martin Lerner ("Lerner") (collecti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Monica J. Mahloch Roger E. Mahloch 95-04147 Name of Respondents Smith Barney Shearson, Inc. Garrett A. Martin REPRESENTATION Claimants Monica J. and Roger E. Mahloch ("Claimants") appeared pro se Respondents Smith Barney Shearson, Inc. ("Smith Barney") and Garrett A. Martin ("Martin") were represented by Marion S.

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between © National Association Securities !>*•" Names of Claimants ANTHONY C MARCACCIO AND MARIE E. MARCACCIO AliRightsRc*crvcd CASE NUMBER 95-04134 Names of Respondents SECURITIES AND VICTOR N. BROOK REPRESENTATION , - --• -• •:•"'• -^ - ; < ^ -.••- : ---;--.- J & , v ' ? > . ; ,. • - ••••-. -., ^-.-' ; '- •

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Neil Davies 9504131 Name of Respondents €> National Association O f Securities Dealers. Inc. R.J. Forbes Group, Inc. U.S. Clearing Corp. All Rights Reservec Steven Lake REPRESENTATION Claimant Neil Davies ("claimant?) appeared pro se. Respondents ^ ^ ;("R.J, ; Forbes"), U.S *' j of R.J, Forhe&

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, 1-NC. In the Matter of the Arbitration Between Name of Claimant Jacob Mazin, Boris Bukshtaber and Kenneth Bollig and Name of Respondent Olde Discount Corporation , i -;^ r REPRESENTATION OF PARTIES v ^f^aeob-M^zin^Bprfs^Bufcshtaber and Kenneth Bollig (collectively as "Claimants") •by ThomasXLKimmell, Esq., Zarlengo & Kimmell, LLC, Denver, Colorado. © National Association

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Nell Crawford 95-04120 Name of Respondents Linsco/Private Ledger Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 29, 1995, Claimant ,; Nell'Crawford^ ("CIaimant")f who^appeared Pro Se/alleged that she held acc^ Respondent, Linsco/Private Ledger Corp.; ("Respondent") and th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant A.G, Edwards & Sons, inc. 95-04119 Name of Respondent Henry V. Schultz CASE SUMMARY In a claim filed with the National, Asspcjatipn^f Sec.urities,Pea]ejCS, Inp.^pn August 29,199$^Giaimantv A.G. Edwards & Sons, Inc. ("Claimant"), .through its representative and in-house counsel y *Michael D. Gates, alleged that Responden

TUN-QS-99 16=05 FROM:NASD REGULATION ID= PAGE 8/16 1 * NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution lathe Matter -of < he Arbitration Between Name nT TJaTmant The Harrknan Qroup, Inc. Case No. 95XH117 Name of Respondent Yossi Yakar Claimant The Haniraan -Group inc. ("Claimant") was represented during me ptea&iags stage by Robert Krakow, Esq., of N«w York, NY. Respondent Yossi Yafcar ("Respondent") was represented during t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Narne of Claimants Frederic R. and Althea 0. Ames Name of Respondents Joel Albert Nazareno Hanover. Sterling & Co.. LTD (Bankruptcy) Adler, Coleman Clearing Corp. (Bankruptcy) Thomas D. Flamenco 95-04116 * '^.r^n.* 1 / A*s"::*ton of CASE SUMMARY Inf a- claim filed- MthlKe- ^National Association^sf^efcu^ti^ Claimants Frederic

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Torrey Pines Securities, Inc. 95-041L3 Name of^Respondent Edward Goiick CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 28, l< $5,iOaimant Torrey Pines Securities, Inc. ("Claimant"), through its representative and President, JactevCPiSnuthvc alleged that Respondent Edward Goiick