N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard Honigman 96-03262 Name of Respondent A.S. Goldmen & Company, Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on July 30, 1996, claimant Richard Honigman, who appeared Pro Se, alleged that respondent A.S. Goldmen & Company. Inc. ("Goldmen") did not sell his shares in

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Russell W. and Helen L. Stupp 96-03261 Name of Respondents State Capital Markets Corporation Joseph Anthony Monaco REPRESENTATION Claimants Russell W, and Helen L. Stupp ("Claimants") were represented by J. Phillip Kirchner, Esq. and Andrew Babiak, Esq., Plaster, Greenberg, Wallenstein, Roderick, Sp

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Donald Ruff, and Melba Ruff, Claimants, vs. 96-03258 American Investment Services, and Paul "Gene" Palmer, Respondents. Donald Ruff, and Melba Ruff ("Claimants") were represented by Bruce A. Burkey, Esq., of the Taylor Law Offices, Altmont, Illinois. Paul "Gene" Palmer ("Palmer") appeared on his own behalf. American Investment Services (

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Everen Securities, Inc., Claimant and Case Number 96-03254 David W. Cade, Respondent. REPRESENTATION OF PARTIES Claimant, Everen Securities, Inc. was represented by Ronald P. Kane, Esquire and Diane C. Fischer, Esquire of Gomberg, Kane & Fischer, Ltd located in Chicago, IL. Respondent, David W. Cade appe

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Sergio D Hie, M.D. v. Name of Respondent^ Del Mar Financial Services, Inc. Kevin C Dills Philip S Brandon Private Brokers Clearing Corporation Arbitration No. 96-03253 REPRESENTATION For Claimant: T Steven Gregor, Esq. Murphey Law Offices Carlsbad, California For Del Mar Financial Services and Kev

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Mark K. Lammers, Claimant, vs. 96-03252 Merrill, Lynch, Pierce, Fenner& Smith, Inc., Respondent. REPRESENTATION OF PARTIES Mark K. Lammers ("Claimant") was represented by Negatu Molla, Esq., of Kimble, Gothreau & Nelson, P.C., Tucson, Arizona. Merrill, Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") was represented by F. Pendleton Gaines,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Stephen K. Vandervliet 96-03249 Name of Respondent v Merrill Lynch Pierce Fenner & Smith Enc CASE SUMMARY in a case filed with the National Association of Securities Dealers Regulation, Inc. on July 29. 1996. claimant Stephen Vandervliet ("claimant"), who appeared Pro Se, alleged that respondent Merr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants — Paul and Nonna Vakassian 96-03248 Name of Respondent Stratton Oakmont, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 29, 1996, Claimants Paul and Norma Vakassian (Claimants"), who appeared Pro Se; alleged that Respondent Stratton Oakmont, Inc. ("Respondent") through its

N.A.S.D. ARBITRATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant JW Charles Securities Inc 96-03247 Name of Respondent Randall Rothenberg CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on July 29, 1996, claimant JW Charles Securities, Inc. ("Claimant"), through its representative afid tohouse ; counsel, Greg

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Evelyn K. Cooper Trust by trustees Evelyn K. Cooper, Robert Cooper & Hinton Nobles 96-03245 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Val P. Thomas CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on July 29, 1996, with a sup