N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael Vuozzo 94-00085 Name of Respondents Thomas James Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 6, 1994, Claimant Michael Vuozzo, who appeared Pro Se, alleged that a broker at Respondent Thomas James Associates, Inc. sold from his account his stoc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants RAS Securities Corp.; Thomas James Associates, Inc.; Neidiger, Tucker, Bruner, Inc.; Sands Brothers & Company, Ltd.; World Securities Corporation; and Laffer Warren & Co., Inc. and 94-00080 Name of Respondent Walford & Company, Incorporated REPRESENTATION OF PARTIES RAS Securities Corp. ("RAS"); Thomas James Associates,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Charles W. Cobb, Jr. 94-00079 Name of Respondents PaineWebber, Inc. Charles Poulin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 5, 1994, Claimant Charles W. Cobb, Jr., through his representative Carl H. Lisman, of Lisman & Lisman, Burlington, Vermont, alleged that he de

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Milton A. and Ruth P. Tepiin 94-00076 Name of Respondents Hanover Sterling & Company, Ltd. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 5, 1994, Claimants Milton A. and Ruth P. Tepiin, who appeared Pro Se, alleged that they purchased 600 shares of Alter Sales Incorporated (

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Victoria L. Essenmacher 94-00056 Name of Respondents John Hancock Mutual Life Insurance Co. Keith L. Mohn Laurence F. Mohn CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 5, 1994, Claimant Victoria L. Essenmacher, who appeared Pro Se, alleged that Respondents General Ag

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Virginia Hay, Co-Executrix of the Estate of Joseph K. Beasley, Deceased and Mary B. Beasley, Widow, and as Co-Executrix of the Estate of Joseph K. Beasley, Deceased (Claimants) v. Salomon Smith Barney and Lawrence Gordon, (Respondents) Case Number: 00-03743 Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES Claimant Virginia Hay, Co-Executrix of the Es

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Thomas H.Kline & Mary T. Kline, JTTEN 94-00043 Name of Respondents John E. Cheevers CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 4, 1994, Claimants Thomas H. Kline and Mary T. Kline, who appeared Pro Se, alleged that they opened an Option Account at Cheevers Hand & Ange

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marquez Knolls, Inc. 94-00031 Name of Respondents Kennedy, Cabot & Company Marquis Quetant Ken Mount CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 4, 1994, Claimant Marquez Knolls, Inc., through its representatives Gene Lachman & Ralph Yarro, alleged that Respondents

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nafne of Claimants Donald A. Ostrower 94-00025 Name of Respondents A. R. Baron & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 31, 1993, Claimant Donald A. Ostrower, who appeared Pro Se, alleged that prior to June 15, 1993 he opened an account with Respondent A. R. Baron & Co.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Leroy F. Perry 94-00024 Name of Respondents Charles Schwab & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 31, 1993, Claimant Leroy F. Perry, who appeared Pro Se, alleged that on April 2, 1991, he held 3,000 face value of Healthco International, Inc. 7% 2011 c