N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas Brademas 95-01277 Name of Respondents Stratton Oakmont, Inc. Martin M. Meltzer CASE SUMMARY [n a claim filed with the National Association of Securities Dealers, Inc. on March 13, 1995, Claimant Thomas Brademas, who appeared Pro Se, alleged that Respondents Stratton Oakmont, Inc. ("Stratton") and Martin M. Meltzer ("

N.A.S.D. AWAKD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Walid Maghribi, TTEE the Maghribi Living Trust Agreement DD 11/3/94 of Respondnts Charles Schwab & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 13, 1995, Claimant Walid Maghribi, TTEE, the Maghribi Living Trust Agreement DD 11/3/94, who appeared Pro Se, alleged that during the fir

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC AWARD In the matter of the Arbitration Between Name of Claimant^ Richard McGlumphy Ronald McGlumphy Foothill Securities, Inc. NASD Arbitration No. 95-01267 REPRESENTATION For Claimants: For Respondent: Irwin G. Stein, Investors Recovery Service, Novato, California Douglas B. Martin, Jr., Esq. San Francisco, California CASE INFORMATION Statement of Claim filed: March

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert M. Bauer, Claimant, v. Rhodes Securities, Inc., James Rhodes, Richard Pendleton, Thomas Hoover, and Jeffcry Breault, Respondents. and No. 95-01262 Rhodes Securities, Inc., Counterclaimant, v. Robert M. Bauer, Counterrespondent REPRESENTATION OF PARTIES Robert M. Bauer ("Claimant") was represented by Chri

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Frederick J. Del Grosso and Brigitte Del Grosso JTWROS 95-01259 Name of Respondent K. Aufhauser & Company, Inc. REPRESENTATION Claimants Frederick J. Del Grosso and Brigitte Del Grosso, JTWROS ("Claimants") were represented by Frederick J. Del Grosso Respondent K. Aufhauser & Company, Inc. ("Respondent") was represente

N.A^S.D. AWARD NATIONAL ASSOCIATION OP SEjqnRITTEg DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(a) Jamea A. Beall NASD Arbitration No- 95-01257 Name of Respondent f B) Kidder, Peabody & Co., Inc. Douglas J. McCaslin Matthew R. Miller REPRESENTATION F'or Claimant: Timothy S. DeJong, Esq., Stoll Stoll Berne Lokting & Shlachter P.C., Portland, Oregon For Respondents: William H. Phelps, Esq.. Kidder, Peabod

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant William & Barbara Perry and 95-01255 Name of Respondent Atlanta-One, Inc. Kevin McCarthy John Williams REPRESENTATION OF PARTIES William & Barbara Perry ("Claimants") appeared and were represented by Stephan C. Williams, Esq., Walnut Creek, California. Atlanta-One, Inc. ("Respondent Atlanta-One") and Kevin McCarthy ("

NASD AWARD In the Matter of the Arbitration Between Morgan Keegan & Co., Inc., Claimant, v. No. 95-01252 Premium Mortgage Co., and Gus Cafcalas, Respondents. REPRESENTATION OF PARTIES Morgan Keegan & Co., Inc. ("Claimant") was represented by Premium Mortgage Co. ("PMC"), and Gus Cafcalas ("Cafcalas") (jointly referred to as "Respondents") failed to appear at the hearing. Claimant's Statement of Claim was filed on or about March 10, 1995,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Timothy M. and Linda J. Bradley 95-01247 Name of Respondents Dean Witter Reynolds, Inc. Steven R. Altomare CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 10, 1995, Claimants Timothy M. and Linda J. Bradley, who appeared Pro Se, alleged that Respondents Dean Witter Reynolds,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paul R. Thomas 95-01246 Name of Respondents Thomas James Associates, Inc. John Gorman Chris C. Jansen CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 10, 1995, Claimant Paul R. Thomas, who appeared Pro Se, alleged that Respondents Thomas James Associates, Inc. ("TJA"), Jo