N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert K. & Clare L. Neuman 95-00513 Name of Respondents Dean Witter Reynolds, Inc. Lee J. Sonko CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 31, 1995, Claimants, Robert K. Neuman and Clare L. Neuman, who appeared Pro Se, alleged that on or about January 11, 1990, Respo

' N.A.S.D. AWARD « NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant KZ Co. 95-00512 Name of Respondents Piper Jaffray, Inc. John W. Goff CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 31, 1995, Claimant, KZ Co., who appeared Pro Se through its President, Keith Ziegenbein, alleged that Respondents, John W. Goff ("Goff") and Pipe

N.A.S.D, AWARD \ATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp. 95-00511 Name of Respondent Ronald Buchter CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 31, 1995, Claimant GKN Securities Corp. ("Claimant"), through its in-house counsel, (Catherine Nathan, Esq., alleged that Respondent Ronald Buchter ("Respondent") ent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter P. Palkowetz, Daniel P. Palkowetz, Timothy P. Palkowetz and Susan D. Palkowetz, joint tenants, Janet Hochroth, Alan Hochroth, individually and as Trustee of the Hochroth Family Trust, Judith Hochroth, Charles Allen and Phyllis Allen, Co-Trustees of the Allen Family Trust, Mary Dale Scheidt and Mel P. Scheidt, both in their individual capacities and as joint tenants, Julian B. Hyma

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp. 95-00510 Name of Respondent Steven E. Bryant CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 31, 1995, Claimant GKN Securities, Inc. ("Claimant"), through its representative and in-house counsel, Katherine Nathan, Esq., alleged that Respondent Steven E. Bry

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUUrfVgi; ;>:&/. ;. rf:. In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp. 95-00509 Name of Respondent Leandro Obenauer CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on January 31. 1995, claimant GKN Securities Corporation ("GKN") through its representative and in-house counsel Katherine Nathan, Esq. alleged that respondent L

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp. 95-00508 Name of Respondent John P. Nichols CASE SUMMARY [n a claim filed with the National Association of Securities Dealers, Inc. on January 31, 1995, Claimant GKN Securities Corp. ("Claimant"), through its representative and in-house counsel, Katherine Nathan, Esq., alleged that Respondent John P. Nichol

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp. 95-00506 Name of Respondent Richard C. Taylor CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 31, 1995 Claimant GKN Securities Corp., ("Claimant") through its representative and in-house counsel, Katharine Nathan, Esq., alleged that Respondent Richard C. Ta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Ellen Bumpas Zander 95-00501 Name of Respondents) Raymond, James & Associates, Inc. Investment Management & Research, Inc. Charles G. Brashier REPRESENTATION For Claimant: Sara M. Bumpas appeared as the attorney in fact for Ellen Bumpas Zander. For Respondents Investment Management & Research, Inc. and Raymond James & As

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joe D. Freeze and Glass Services, Inc. 95-00500 Name of Respondents PaineWebber Incorporated; Oppenheimer & Co., Inc.; Larry Bishop REPRESENTATION For Claimant: Joe D. Freeze ("Freeze") and Glass Services, Inc. ("Glass") were represented by Frederick E. Roth, Esq. of Naperville, Illinois. For Respondent: PaineWebber In