Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant John A. St. George Case No. 00-05169 Names of Respondents TD Waterhouse Investor Services, Inc. Erik Wiklund Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES John A. St. George, hereinafter referred to as "Claimant", appeared pro se. For TD Waterhouse Investor Services, Inc. ("TDW") and Erik Wiklund ("Wiklund") hereinafter collectively

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Roque Ramirez and Josephine Ramirez 96-03678 Name of Respondent Rickel & Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 26, 1996, claimants Roque Ramirez and Josephine Ramirez ("claimants"), who appeared Pro Se, alleged that David Barroso ("Barroso"), was thei

NASD REGULATION, INC, AWARD In the Matter of the Arbitration Between Name of Claimant Nulsen B. Smith 96-03677 Names of Respondents Bear Stearns & Company Michael Cooney Bruce Lisman William M. Jennings REPRESENTATION For Claimant Nulsen B. Smith ("Claimant") appeared Anthony D. Rizzotti, Esq., of the law firm Dwyer & Collora, LLP, located in Boston, Massachusetts. For Respondents Bear Stearns & Company ("Bear Stearns"), Michael

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Judy Canon, Claimant, and No. 96-03676 A.G. Edwards & Sons, Inc., and William Lee, Respondents. REPRESENTATION OF PARTIES Claimant, Judy Canon was represented by Sidney Levine, Esquire, Sole Practitioner, located in Sealy, Texas. Respondents, A.G. Edwards & Sons, Inc. ("A.G. Edwards") and William Lee were represented by Jeff Jamieson, Esquir

N.A.S.D. REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Mary a Teri Konars 96-03674 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., James Tenuto, and Robert Donia REPRESENTATION OF PARTIES For Claimant: Judith Hartwig, Esq., Law Offices of Thomas R. Gill, San Diego, California. For Respondents: Terry E. Sanchez, Esq., Munger Tolles & Olson, Lo

J AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between John Franklin and Shirley Franklin Claimants, and No. 96-03673 Financial Investment Network Corporation and Jeannie Janota Respondents. REPRESENTATION OF PARTIES Claimants, John Franklin and Shirley Franklin, were represented by Glenn H. Devlin, Esquire of Devlin & Phillips, located in Houston, Texas. > > Respondents, Financial Investment

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Mary Jochim and Case Number 96-03670 Name of Respondent Kirkpatrick Pettis Smith Polian, Inc. REPRESENTATION OF PARTIES Claimant Mary Jochim was represented by John Ryan, Esq. of Fraser, Stryker, Vaughn, Meusey, Olson, Boyer & Bloch, P.C. located in Omaha, NE and by Steven E Rau, Esq. of Rau & Floyd, PLLP located in Min

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-03669 Enrique A. Desio, claimant v. Merrill Lynch Pierce Fenner & Smith Inc and Casper Casparian, respondents. ATTORNEYS: Claimant appeared Pro Se. - Sam Ramon, CA. For Respondents Appeared Kevin P. Kane, Esq., in-house-counsel for Merrill Lynch, Pierce, Fenner & Smith Inc. New York, NY. DATE FILED: 8/26/96. CASE SUMMARY: Claimant alleged churning,

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants William and Jerry Gerbasi v. Name of Respondents Financial Network Investment Corp., Titan/Value Equities Group, Inc., CAI Securities Corporation, Theodore Ragsdale, Frank King, Lawrence J. Lucas. Ernest Lavagetto. and Brian Tarbox Arbitration No. 96-03668 For Claimants: For Respondents: REPRESE

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Dabney P. Murrill 96-03657 Name of Respondent Josephthal Lyon & Ross Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on August 23, 1996, claimant Dabney P. Murrill ("claimant"), who appeared Pro Se, alleged that on two occasions unauthorized tra