N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rose LaValley 95-00225 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Edythe DeMarco CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 16, 1995, Claimant, Rose LaValley ("LaValley"), who appeared Pro Se, alleged that in late 1991, Respondent Edythe DeMarco ("D

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sylvia Strochak 95-00224 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Robert D. Player In a claim filed with the National Association of Securities Dealers, Inc. on January 16, 1995, Claimant Sylvia Strochak, who appeared Pro Se, alleged that Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Stephen E. & Terri J. Gurley 95-00223 Name of Resoondent(s) Olde Discount Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 16, 1995, Claimants, Stephen E. and Terri J. Gurley, who appeared Pro se, alleged that Respondent Olde Discount Corporation failed to follow th

NASD, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nanje qf Claimant Robert Hopp 95-00222 >fame of Respondent Josephthal Lyon & Ross, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1995, and a additional documentary submission filed on May 3, 1995, Claimant Robert Hopp ("Hopp"), who appeared Pro Se, stated that he maintained an account w

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimants Victor H. Fink and Sheila G. Fink 95-00220 Name of Respondents Richard N. Fredette; Thomas F. Reilly; Philip J. ELtman; Steven Leslie Eiunan; Glenn Edward Essert REPRESENTATION For Claimants: Victor H, Fink and Sheila G. Fink ("Fink") were represented by Arne R. Rode, Esq. of Chicago, Illinois. For Respondents; Rich

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Cara Marks v. Arbitration No. 95-00217 Name of Respondents D.H. Blair & Company, Inc., Lew Lieberbaum & Co., Inc. Michael Katz, Mark Ira Lew, Sheldon J. Lieberbaum, Leonard A. Nuehaus, and Anthony Jude Alagna REPRESENTATION For Claimant: Phillip Aidikoff, Esq. Aidikoff&Uhl Beverly Hills, California For Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Roger A. & Irene L. Carter Case# vs. 95-00215 Name of Rffipondent Fidelity Brokerage Services, Inc. REPRESENTATION For Claimants, Roger & Irene L. Carter, Ralph A. Dyer, Esq., of Law Offices of Ralph A. Dyer, located in Portland, Maine. For Respondent, Fidelity Brokerage Services, Inc., Robert A. Buhlman, Esq. of Binghrnan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Roy Clai Brown ~ 95-00214 Name of Respondents Oppenheimer & Co., Inc. John Charles Edwards REPRESENTATION Claimant Roy Clai Brown ("Brown") was represented by John Connolly, Esq., Alexandria, VA Respondents Oppenheimer & Co., Inc. ("Oppenheimer") and John Charles Edwards ("Edwards") were represented by Joseph Pickard,

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Michael S. Evans and 00-3791 Name of Respondent Charles Schwab & Company, Inc. REPRESENTATION OF PARTIES Michael S. Evans ("Claimant") was represented by Ross Foster, Esq., Law Offices of Ross T. Foster located in Fort Worth, Texas. Charles Schwab ("Respondent") was represented by Robb Crowe, Esq. of Charles Schwab & Co. Inc., located in San Fra

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Edward Buckney and 95-00212 Name of Respondent Chatfield Dean & Company Nicholas P. Madamas, Jr. REPRESENTATION OF PARTIES Edward Buckney ("Claimant") was represented by Martin A. Blumenthal, Esq., Chicago, Illinois. Chatfield Dean & Company ("Respondent Chatfield") was represented by Christa D. Taylor, Esq., Chatfield De