N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Carl Richard Palazzolo 93-03932 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. William Lies, IV CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 27, 1993, Claimant Carl Richard Palazzolo, who appeared Pro Se, alleged that he purchased 300 shares of Intel,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Roy E. and Norma G. Bie 93-03925 Name of Respondents Richard Caruso John Hancock Distributors, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 28,1993, Claimants Roy E. and Norma G. Bie, who appeared through their representative, Robert M. Roth, Appleton, WI, allege

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ted Cox 93-03905 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 28, 1993, Claimant Ted Cox, who appeared Pro Se, alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. neglected its obligations to in

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David R. and Ann Shalita, JT TEN 93-03890 Name of Respondent Dean Witter Reynolds, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 28, 1993, Claimants David & Ann Shalita, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc., through its representativ

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DF.AI.RRS. INC. In the matter of the Arbitration Between Name of Claimant NASD Arbitration Jesus Salazar No. 93-03889 v. Name of Respondents Enuity Progrim* 1 Corn Donald Clinton Rogers REPRESENTATION For Claimant: Paul W. Thomas, Esq., Carlsbad. California For Respondents: Peter Shenas, Esq., Shenas, Shaw & Spievak, San Diego, California CASE INFORMATION Statement of Claim fi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Martin Stern and Marilyn Stem 93-03884 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 27, 1993, Claimants Martin and Marilyn Stern, who appeared Pro Se, alleged that Respondent sold Claimants $5,000.00 worth of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael D. & Mary C. Meyers 93-03868 Name of Respondents Brian Stevenson Tom Kelsey CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 24, 1993, Claimants Michael D. and Mary C. Meyers, who appeared Pro Se, alleged that they purchased IS units of Amfac/JMB Hawaii Inc. limit

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants: Barry James Meyers vs. Name of Respondents: Scottsdale Securities, Inc. Case No. 93-03861 REPRESENTATION Claimant appeared pro se. Respondent appeared by Mark Finnegan, Compliance, Scottsdale Securities, Inc. CASE INFORMATION Statement of Claim filed: September 9, 1993. Claimant's Submission Agreement si

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between. Name of Claimant Joe A. Gibson 93-03853 Name of Respondent F.N. Wolf & Co., Inc. REPRESENTATION For Claimant, Joe A. Gibson ("Gibson"): Pro Se. For Respondent, F.N. Wolf and Co. ("F.N. Wolf 1 ): Arthur G. Wyatt, Esq. of Reed Smith Shaw and McClay. CASE INFORMATION Statement of Claim filed on: September 24, 1993. Claimant's

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard E. Cole 93-03840 Name of Respondents Shearson Lehman Hutton. Inc.. n/k/a Smith Barney Shearson Inc. Harry L. Moore CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 26, 1994, Claimant Richard Cole, who appeared Pro Se, alleged that he had maintained an IRA account wi