NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Names of Claimants Maurice M. Alexander, MMA Cattle Company, Los Seis Partnership and Lois Seis Partnership and Case Number 95-00618 Names of Respondents Smith Barney Shearson, Inc., Rauscher Pierce Refsnes, Inc. and Mark Platt REPRESENTATION OF PARTIES Maurice M. Alexander, MMA Cattle Company, Los Seis Partnership and Lois Seis P

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rosalind Mindes 95-00611 Name of Respondent Griffin Financial Services Home Savings Of America CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 7, 1995, Claimant Rosalind Mindes, who appeared Pro Se, alleged that Respondents Griffin Financial Services ("Griffin") and Home S

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Leah Galles Fromer, (Claimants) v. Wells Fargo Brokerage Services, LLC and Ethan J. Wiggins, (Respondents) Case Number: 00-03834 Hearing Site: Albuquerque, New Mexico REPRESENTATION OF PARTIES Claimant Leah Galles Fromer ("Fromer")- Thomas J. Schuchert, Esq., The Bregman Law Firm, P.C., Albuquerque, New Mexico. Respondent Wells Fargo Brokerage Services, LLC ("Wells Far

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Samuel M. Wiles, D.D.S., P.C., Money Purchase Pension Plan 95-00610 Name of Respondents James W. Gmbb J.C. Bradford & Co. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 7, 1995, Claimant Samuel M. Wiles, D.D.S.,P.C., Money Purchase Pension Plan ("Claimant"), through i

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Douglas E. Thielen 95-00609 Name of Respondent * Earl J. Rusnak In a claim filed with the National Association of Securities Dealers, Inc. on February 7, 1995, Claimant Douglas £. Thielen (''Claimant 1 '), who appeared Pro Se, alleged that Respondent Earl J. Rusnak ("Respondent"), failed to follow his written instructio

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph G. Reynolds Award No. vs. 95-00607 Name of Respondent Waterhouse Securities Inc. REPRESENTATION Claimant, Joseph G. Reynolds ("Claimant"), represented himself at the hearing. For Respondent Waterhouse Securities Inc., ("Respondent"), Robert F.X. Bohrer First Vice President of Waterhouse Securities located in New York

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant Norman Vierlink v. NASD Arbitration No. 95-00595 Name of Respondents Thomas Lee Nelson and Than/Value Equities Group, Inc. REPRESENTATION For Claimant: Richard Sacks Investors Recovery Service Novato, California For Respondent: G. Thomas Fleming III, Esq. and Michael A. Amiri, Esq., Jones, Bell, Simpson & Abbo

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between PriscillaD. Sewell and Merrill Lynch. Pierce, Fenner & Smith, Inc. and Bobby W. Huff; Jr. NASD Case Number 95-00580 REPRESENTATION OF PARTIES Claimant, Priscilla D. Sewell was represented by Anton E. Fraps, IV, Esq., Sole Practitioner, located in Houston, Texas. Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc. and Bobby W. Huff, Jr. w

v . NASD AWARD ™ ~ * . NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Catherine Brown, Claimant, vs. No. 95-00578 Bank of America Investment Services, Inc., and Robert Scott Thorns, Respondents. and Consolidated Angeline S. Pappas, Claimant, vs. No. 95-00596 Bank of America Investment Services, Inc., and Robert Scott Thorns, Respondents. REPRESENTATlpN QF PARTIES Catherin

* I NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Grace M. Cowling, Claimant v. No. 95-00574 Merrill Lynch, Pierce, Fenner & Smith, Inc., and Jean A. Gonsalo, Respondents. REPRESENTATION OF PARTIES Grace M. Cowling ("Claimant") was represented by Joseph R. Colantuano, Esq., of Posenilli, White, Vardeman & Shalton, Overland Park, Kansas. Merrill Lynch, Pierce, Fenner & Smith,