N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfsl Jack C. Dillon 95-01802 Name of Respondent^ James Lawrence Montreuil AmerinationaJ Financial Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 12, 1995 and in an amended claim filed on June 21, 1995, Claimant Jack C. Dillon, through his counsel, Gordon D. Dihle,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Charles K. Touchton 95-01796 Name of Respondents A.G. Edwards & Sons, Inc. James T. Metcaif, Jr. CASE SUMMARY In a claim tiled with the National Association of Securities Dealers, Inc. on April 12, 1995, Claimant Charles K, Touchton ("Claimant"), who appeared Pro Se, alleged that Respondents A.G. Edwards & Sons, Inc. CAGES"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Richard C. Nelson Alice Nelson NASD Arbitration No. 95-01792 Name of Respondent(s) Smith Barney Shearson, Inc. REPRES ENTATION For Claimants: Richard C. Nelson, Seattle, Washington For Respondent: Sean J. Coughlin, Esq., Smith Barney Inc., New York, New York CASE INFORMATION Statement of Claim filed: Ma

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paul J. Fike 95-01790 Name of Respondents Carl G. Gordinier L.C. Wegard & Co., Inc. CASE SUMMARY In a claim riled with the National Association of Securities Dealers, Inc. on April 11, 1995, Claimant Paul I. Ftke ("Claimant"), who appeared Pro Se, alleged that Respondents L.C. Wegard & Co,, Inc. CLCW") and Carl G. Gordinier

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alexander Hillman 95-01788 N'ama of Re-pon Hanover, Sterling & Co., Ltd. Michael Orlino CASE SUMMARY In :i claim filed with the National Association of Securities Dealers, Inc. on April 11, 1995 Claimant Alexander Hillman ("Claimant 11 ), who appeared Pro Se, alleged that Respondent Hanover Sterling &. Co., Ltd. ("H

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Melba and Dwight Talley 95-01784 Name of Respondent Robert Thomas Securities, Inc. CASEgUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 11, 1995, Claimants, Melba and Dwight Talley, who appeared Pro Se, alleged that Respondent, Robert Thomas Securities, Inc., sold them unsuitable secu

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Sondra Nodvin, Marvin Nodvin, Profit Sharing Plan and Trust of the Nodvin Firm, and Ecovest Associates, Ltd Case No. 95-01782 Name of Respondent National Financial Services Corp. REPRESENTATION Claimants Sondra Nodvin, Marvin Nodvin, Profit Sharing Plan and Trust of the Nodvin Firm, and Ecovest Associates, Ltd ("Claimants") were represented by H. Lamar Mix

NASD REGULATION, INC. A\VARI> In the Matter of the Arbitration Between Name of Claimant Kathleen Anderson < J5 01780 Name of Respondents Berkeley Securities Corp. Eric S. Williams RKI'RESKNTATION For claimant Kathleen Anderson ("claimant") appeared Morgan W. Bentley. Esq.. with law offices located in Newark. New Jersey. No representative appeared at the hearing on behalf of respondent Berkeley Securities Corp. ("Berkeley"). Respondent

NASD Rl-GULATION AWARD In the Matter of the Arbitration Between Name of Claimant Rose Palano 95-01776 Name of Respondents Dean Witter Reynolds inc. Bailey. Manin & Appel Inc Mark Perron Howard Appel Donald Bailey Francis Martin Charles Marweil. Ill Stephen Harrington Financial Equities Resources, Ine. BMA Advisors. Inc. REPRESENTATION For claimant Rose Palano ("claimant") appeared Philip M. Giordano. Esq. of me law of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Yvonne Chaliwit 95-01773 Respondents Gary Goldberg & Co., Inc. Gary M. Goldberg CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 11, 1995, Claimant Yvonne Chaliwit, who appeared Pro Se, alleged that Respondents Gary Goldberg & Co., Inc. and Gary M. Goldberg ("Goldberg"), recom