Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Catherine L. Woodworth, (Claimant) vs. Investor's Advocate, LLC, Steven Maczka, and Jason Watkins, (Respondents) Case Number: 00-05082 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Catherine L. Woodworth, hereinafter referred to as "Claimant", appeared pro se. Respondents, Investor's Advocate, LLC ("IA"), Steven Maczka ("Maczka"), and Jason Watkins (

Final Order NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Heartland Securities Corp., (Claimant) vs. Herzog, Heine, Geduld, Inc., (Respondent) Case Number: 00-00511 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Heartland Securities Corp., hereinafter referred to as "Claimant": Matthew H. Maschler, Esq., Attorney at Law, Edison, NJ. Respondent, Herzog, Heine, Geduld, Inc., hereinafter referred to as "Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joan Deges 95-01772 Name of Respondent Olde Discount Corporation CASE SUMMARY [n a claim filed with the National Association of Securities Dealers, Inc. on April 11, 1995, Claimant Joan Deges ("Claimant"), who appeared Pro Se, alleged that Respondent Olde Discount Corporation ("Respondent"), advised her to purchase 563 shares o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants V Ronald Gem] 95-01771 - Name of Respondents') Smith Barney Inc. Robert L. Waxman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 11, 1995 Claimant Ronald Gerstl, who appeared Pro Se, alleged that Respondent Robert L. Waxman of the Respondent firm. Smith Barney Inc. recommen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James E. Ysseldyke 95-01770 Name of Respondents Dain Bosworth Inc. James D. Dutcher CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 11, 1995, Claimant James E. Ysseldyke ("Claimant"), who appeared Pro Se, alleged mat Respondents Dain Bosworth Inc. ("DBF 1 ), and James

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant^ W. David Mello, M.D., Trustee of the W. David Mello Smith Barney Prototype Profit Sharing Plan NASD Arbitration No. 95-01768 Name of Respondent^ Smith Barney Shearson, Inc. and Michael D. Berger REPRESENTATION For Claimant: H. Thomas Fehn, Esq. Fields, Fehn & Sherwin Los Angeles, California For Respondent: Se

N.A.S.n. AWARD NATIONAL ASSnnATION OF SFr.TTttlTTCS nF.AT.RRS. INC In the matter of the Arbitration Between • nf r)|flimant Fred Amsel v NASD Arbitration No. 95-01767 Nam ft nf Respondent Kennedy, Cabot & Co. For Claimant: Fred Amsel, In Pro Per For Respondent: George Kupper, Kennedy, Cabot & Co., Beverly Hills, California r ACT. INFOttMATTON Statement of Claim filed: April 10, 1995 Claimant's Submission Agreement signed

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Jack A. Serio and NASD Case Number: 95-01764 Name of Respondents Morgan Keegan & Company, Inc. Hugo Urrea REPRESENTATION OF PARTIES Claimant Jack A. Serio was represented by Gerald Wasserman, Esq. of Bach & Wasserman, Metairie, Louisiana. Respondent Morgan Keegan & Company, Inc. was represented by David M. Minnick, Esq. o

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Names of Claimants Werner C, Hoelscher and Lena M. Hoelscher 95-01761 Names of Respqadents Hanover Sterling & Company, Ltd., Lowell Schatzer and Michael Nnebe REPRESENTATION OF PARTIES Werner C. and Lena M. Hoelscher ("Claimants") were represented by Steve M. Williard, Esq. of Meter, Knight & Williams located hi Houston, TX. Micha

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William Wolfe 95-01759 Name of Respondents Empire Securities, Inc. Randall J. McNiece Charles A. Anderson Randall Strack CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 31, 1995, Claimant William Wolfe, through his representative, Brian K, Lowe of Investors Arbitration Se