NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants J. Charles Collins, Jr. Freda Collins and NASD Case Number: 95-01819 Name of Respondents R. Jackson Little Merrill Lynch Pierce Fenner & Smith, Inc. REPRESENTATION OF PARTIES Claimants, J. Charles Collins, Jr. and Freda Collins were represented by James E. Stovail, Esq., Metairie, Louisiana. Respondents, R. Jackson L

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Steven D. Falke, Claimant, v. No. 95-01818 Dickenson & Co., Diane Welsh, Brian McVey, and Kelly Sutton. Respondents. REPRESENTATION OF PARTIES Steven D. Faike ("Claimant") was represented by Jane L. Stafford, Esq. of Watson and Marshall, Kansas City, Missouri. Dickenson & Co, Diane Welsh, Brian McVey, and Kelly Sutton ("Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rudi B. and Susan Stone Miksa 95-01815 Name of Respondent Stratton Oakmont, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 17, 1995, Claimants, Rudi B. and Susan Stone Miksa ("Claimants"), through their representative, Robert G. Foley, Esq., of Monroe, LA, alleged that Res

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Burton P. Sauer as Trustee for the Burton P. Sauer Revocable Trust 95-01814 Name of Respondents CarlC. Roba Emrnett A, Laritin & Co., Inc. Melinda L. Jonopulos CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 17, 1995 Claimant Burton P. Sauer Revocable Trust, represented by Burton P. Sauer, wh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Inna Baklcer 95-01813 Name of Respqndents PaineWebber, Inc. Harry Kroft CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on AprU 17. 1995 Inna Bakker (''Claimant"), who appeared Pro Se, alleged that Respondent PaineWebber, Inc., its account representative, Respondent Harry Kroft ("Krof

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mary Ann Henron Name of Respondent Dean Witter Reynolds, Inc. 95-01812 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 17, 1995, Claimant Mary Arm Herron, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc., made misrepresentations, omitted to state materi

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the matter of the Arbitration Between NASD Regulation, Inc. No. 95-01806 Claimant LaRue Bean vs. Respondents Smith Barney Inc. Richard Holbrook REPRESENTATION OF PARTIES For Claimant: Jack J. Orr, Esq., Harris, Orr & Wakayama, Seattle, Washington For Respondents: John Bevilacqua, Esq., Smith Barney Inc:, New York, New York CASE INFORMATION Statement of Claim filed

\ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Quentin J. Benedetti, Trustee for By The House of Quinto Trust 95-01804 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. John F. Watkins CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 12, 1995, Claimant Quentin J. Benedetti, Trustee for By The House of Q

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bush & Bush Fanners 95-01803 Prudential Securities, Inc. Franklin L. Utermehie CASE SUMMARY In a claim filed with the National Association of Securities Dealers, [nc. on April 12, 1995 Claimant Bush & Bush Partners ("Claimant"), a partnership, through its representative, James J. Eccleston, Esq., of Uscian & Eccleston, located

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mary A. Wong, (Claimant) vs. Investor's Advocate, LLC, Steven Maczak, and Jason Watkins, (Respondents) Case Number: 00-05084 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Mary A. Wong, hereinafter referred to as "Claimant", appeared pro se, Respondents, Investor's Advocate, LLC CIA"), Steven Maczak ("Maczak"), and Jason Watkins ("Watkins"), hereinaft