N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Shirley A. Fialkowski Elizabeth Fialkowski 95-00662 Name of Respondent Jimmy Burns CASE SUMMARY In a claim filed with the National Association of Securities. Dealers, Inc., on February 6, 1995, Claimants, Shirley A. Fialkowski and Elizabeth Fialkowski, who appeared Pro Se, alleged that Respondent, Jimmy Burns, an employee

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ft of laimants Joe David Bogle and Mary A. Bogle 95-00661 Name of Respondents Robert F. Craig Betty Jean Avery REPRESENTATION Claimants Joe D. and Mary A. Bogle ("Claimants") appeared pro se. Respondent Robert F. Craig ("Craig") did not enter an appearance at the hearing. Respondent Betty Jean Avery ("Avery") did not enter an appearance at

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Shirley A. Beers, Claimant v. Mark Bussey and Prudential Secunties Incorporated, Respondents Case Number: 00-03842 Hearing Site: Portland, Oreson REPRESENTATION OF PARTIES For Claimant: Cecil B. Strange, Esq. Portland, Oregon For Respondents: Charles B. LaChaussee. Esq. Prudential Securities Incorporated San Francisco, California CASE INFORMATION Statement of C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) James W. Sulek Mildred Cole Sulek NASD Arbitration No. 95-00660 Name of Respondent(s) Olde Discount Corporation REPRESENTATION For Claimants: James W. Sulek, Seattle, Washington For Respondent: Lisa S. Fildes, Esq., Olde Discount Corporation, Detroit, Michigan CASE INFORMATION Statement of Claim filed

- N.A.S.D. AWARD ' NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marie K. Nachman 95-00654 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Saly Classman Lawrence Ettenger REPRESENTATION For Claimant Marie K. Nachman ("Claimant"): appeared pro se. For Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch"), Saly Glassman ("Classman") and L

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Gordon W. and Layne G. Carlson 95-00653 Name of Respondent Hayne, Miller Financial, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about February 7, 1995, Gordon W. Carlson and Layne G. Carlson ("Claimants"), who appeared Pro Se', alleged that they were introduced b

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Clark C. Dedrick and Eva Dedrick Claimant(s) NASD Arbitration v. No. 95-00652 Joseph D. Fuccy Advisory Financial Consultants Respondent(s) REPRESENTATION OF PARTIES Clark C. Dedrick and Eva Dedrick ("Claimants") were represented by Richard Sacks, Investors Recovery Service, Novato, California Joseph D. Fuccy ("Respondent") was represented

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant A.G. Edwards & Sons, Inc. 95-00649 Name of Respondent John R. Adamonis REPRESENTATION Claimant A.G. Edwards & Sons, Inc. ("Claimant") was represented by M. Jane Matoesian, Litigation Counsel, A.G. Edwards & Sons, Inc. Respondent John R. Adamonis ("Respondent") appeared pro se CASE INFORMATION The Statement of Claim was

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name ot Claimant Jan Blau 95-00646 Name of Respondent Philip John Milligan REPRESENTATION Claimant Jan Blau ("Claimant") appeared pro se. Respondent Philip John Milligan ("Respondent") appeared pro se. CASE INFORMATION Claimant's Statement of Claim was filed on February 6, 1995. Claimant's Amended Statement of Claim was filed on September 5, 1995. Claimant's Sub

N.A.S.D. AWARD f~ * I NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant ^ Edsel Max Coble 95-00640 Name of Respondents J. Gregory & Co., Inc. Mohammed Wasif REPRESENTATION Claimant Edsel Max Coble ("Claimant") was represented at the hearing by John A. Dezio, Esq., Attorney at Law, in Charlottesvilie, VA. Respondents J. Gregory & Co., Inc. and Mohammed Wasif (collectively know