N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert E. Blinn 95-00688 Name of Respondent McDonald & Company Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 7, 1995, Claimant Robert E. Blinn, who appeared Pro Se, alleged that the procedures followed by the Respondent McDonald & Company Securities, Inc., r

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ernest C. Gray, Jr. 95-00687 Name of Respondents Smith Barney Shearson, Inc. Dennis W. Hubbard Christal Torrens Hubbard CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 7, 1995, Claimant Ernest C. Gray, Jr. ("Claimant 11 ), through his representative and counsel, Ba

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Corporate Securities Group, Inc. 95-00686 Name of Respondent Alejandro Menendez CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 9, 1995, Claimant Corporate Securities Group, Inc., through its in-house counsel, Gregory Tendrich, Esq., alleged that Respondent Alejandro Menendez,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Raymond, James & Associates, Inc., Claimant v. Jamison S, Savage, Respondent Case No: 00-03847 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Raymond, James & Associates, Inc.: Jeffrey J. Kalinowski, Esq. ("Claimant") Richard H. Kuhlman, Esq. Carrie J. Bechtold, Esq. Blackwell Sanders Peper Martin, LLP St. Louis, Missouri For Jamison S. Savage: C. Edwar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Peter J. Relson 95-00685 Name of Respondents A.G. Edwards & Sons, Inc. Peter S. Lundstedt CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 9, 1995, Claimant Peter J. Relson, who appeared Pro Se, alleged that Respondents A.G. Edwards & Sons, Inc. ("A.G.") and Peter S. Lundst

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant NASD Arbitration Kemper Securities, Inc. #95-00681 vs. Name of Respondent Charles C. Ballard REPRESENTATION For Claimant: Ronald P. Kane, Esq., Gomberg Kane & Fischer, Ltd., Chicago, Illinois For Respondent: Rob J. Crichton, Esq., Keller Rohrback L.L.P., Seattle, Washington CASE INFORMATION Statement of Claim file

N.A.S.D. AMENDED AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants William H. Lowery and Judith H. Lowery 95-00679 Name of Respondents Smith Barney Shearson, Inc. Jeffrey W. Jones First Montauk Securities Corp. A.T. Brod & Company, Inc. REPRESENTATION For Claimants: Kalju Nekvasil, Esq. of the Law Offices of Goodman & Nekvasil, Safety Harbor, FL, For Respondent A. T. B

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Corporate Securities Group, Inc. 95-00671 Name of Respondent Spencer Saffran CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 9, 1995, Claimant Corporate Securities Group, Inc., through its representative, Gregory Tendrich, Esq., in-house counsel, Boca Raton, FL, alleged that R

NASD REGULATION AWARD 95-00667 In the Matter of the Arbitration Between Name of Claimant Robert H. Gale Name of Respondents Nicholas M. Antorielli Stratton Oakmont, Inc. REPRESENTATION Claimant Robert H. Gale ("claimant") appeared pro se. Respondent Nicholas M. Antondli ("Antonelli") appeared pro se. Respondent Antonelli was previously represented by Gregg R. Evangelist, Esq., with law offices located in Jericho, New York. For respon

, ' N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edgar T. and Joan M. Roesch 95-00663 Name of Respondents Vision Investment Group,Inc. Thomas S. Marinovich CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 8, 1995 Claimants Edgar T. and Joan M. Roesch ("Claimants"), who appeared Pro Se, alleged that they held an account