NASDR AWARD NASDR. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Thomas James Associates, Inc. (Now known as HJ. Meyers & Co., Inc.) NASDR Arbitration #95-01756 vs. Name of Respondent^ Cohig & Associates, Inc. Troy M. Peters REPRESENTATION For Claimant: Paul Delmore, Esq., Edwards, White & Sooy, San Diego, California For Respondent Cohig & Associates: Frank W. Visciano, Esq., Senn, L

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between John Dominici. Claimant, v. " No. 95-01754 Linda Bently, Karen Lighthizer, Jeanne Carney, and Erin O'Rourke. Respondents. REPRESENTATION OF PARTIES The Dominici Family Trust ("Claimant") was represented by John Dominici, Phoenix, Arizona. Linda Bently ("Bently"), Karen Lighthizer ("Lighthizer"), Jeanne Carney {"Carney"), and Erin

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Bernie Co. and Bernhardt Rosenberg, Claimants, and No. 95-01751 Piper Jaflray, Inc. and James J. Ingram, Respondents, REPRESENTATION OF PARTIES Claimants Bernie Co. and Bernhardt Rosenberg were represented at the hearing in this matter by Joel Hanover, Esquire of Vero Beach, Florida. Claimants were also represented at various times throughout th

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Steven Rosner 95-01750 Name of Respondents Paulson Investment Company Inc. Investors Associates, Inc. REPRESENTATION For Claimant Steven Rosner ("Claimant") appeared Robert J. Poulson Jr. Esq. located in New York, New York. For Respondent Investors Associates Inc. ("IAI") appeared Lawrence Gelber Esq. in-house-counsel. For Respondent Paulson Investment Compan

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Mei-Ban Lo and Sarsi Lo and 95-01743 Name of Respondent RAF Financial Corporation Max Gould REPRESENTATION OF PARTIES Mei-Ban Lo and .Sarsi Lo ("Claimants") were represented by Paul G. Bursiek, Esq., Pendleton Friedberg Wilson Hennessey & Meyer, P.C., Denver, Colorado. RAF Financial Corporation ("Respondent RAF") and Max

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Eric R. Thornlow, 95-01738 Name of Respondent NationsSecurities, Inc. REPRESENTATION For Claimant, Matthew A. Henderson, Esq., from the law firm of Henderson, Brandt & Vieth, Spartanburg, SC. For Respondent, Cory Hohnbaum, Esq., of Counsel to the law firm of Kennedy, Covington, Lobdell & Hickman, L.L.P., Charlotte, NC. CASE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William E. McNeal 95-01732 Name of Respondent M. Rimson & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 7, 1995, Claimant William E. McNeal ("Claimant"), who appeared Pro Se, alleged that Respondent M. Rimson & Co., Inc., through its representative Gene Shkilko ("Shki

N.A.S.D.R. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Robert Bonitz, B&B Investors, George A. Farmer, Paxtonia Associates, Residential Warranty Corp. #23, Residential Warranty Corp. #24, Residential Warranty Corp. #28 and Residential Warranty Corp. #EAM 95-01727 Name of Respondents Josephthal Lyon & Ross Inc. Southeast Research Partners, Inc. Bonnie Motyka REPRES

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael J. Sims 95-01726 Name of Respondent Olde Discount Corporation REPRESENTATION Claimant Michael J. Sims ("Claimant") appeared at the hearing pro se. Respondent Olde Discount Corporation ("Respondent") was represented at the hearing by David T. Doyle of Olde Discount Corporation, Detroit, ML CASE INFORMATION The St

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Zimbalist Smith Investments, LLC, Claimant v. A.G. Edwards & Sons, Inc. and Michael A. Groat, Respondents Case Number: 00-05075 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES For Claimant: Greg Hendrix Hendrix & Brinich, LLP Bend, Oregon For Respondents: Clay L. Grumke A.G. Edwards Sons, Inc. St. Louis, Missouri CASE INFORMATION Statement of Claim