N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Antoinette Apicella 93-01789 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Edward Francis Shell CASE SUMMARY In a claim with the National Association of Securities Dealers, Inc. on May 4, 1993, Claimant Antoinette Apicella, who appeared Pro Se, alleged that she contacted Respondent Edward F. Sheil, an empl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURJTTF^ pFAT.FRS. INC. In the matter of the Arbitration Between Name of Claimant Shashin N. Kadakia NASD Arbitration No. 93-01782 Name of Respondents Fidelity Brokerage Services Tom Simeone RFPRFSFNTATTON For Claimant: In Pro Se For Respondents: In Pro Se CASE Statement of Claim filed: May 4, 1993 Claimant's Submission Agreement signed: December 29, 1992 Statement of Answer filed

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Corby Sable 93-01769 Name of Respondent Ohio Savings Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 3, 1993, Claimant Corby Sable by and through his counsel Lawrence J. Rich, Esq. of Zashin, Rich & Sutula Co., L.P.A., Cleveland, OH, alleged that he plac

t t N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Cynthia Ann Klapper, Individually, and as Trustee for her Children, Claimant, v. No. 93-01762 Prudential Securities Incorporated, and Lewis J. Bair, Respondents. REPRESENTATION OF PARTIES For Claimant Cynthia Ann Klapper, Individually, and as Trustee for her children ("Claimant"): Frank Lewis, Esq., of Begam, Lewis, Marks, Wolfe & Dasse, Phoenix, Arizona. For Respo

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ramon A. Shane, M.D. 93-01757 Name of Respondents Dickinson & Co. Michael S. Rohdenburg CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 3, 1993, Claimant Ramon A. Shane, M.D., who appeared Pro Se, alleged that Respondent Dickinson & Co., through its broker, Responden

STIPULATED AWARD NASD DISPUTE RESOLUTION, INC. H & R BLOCK FINANCIAL ADVISORS, INC., F/K/A ) OLDE DISCOUNT CORPORATION, ) Claimant, v. MORGAN STANLEY DEAN WITTER & CO. Respondent. NASD DR No. 00-03675 REPRESENTATION OF PARTIES For Claimant: H & R BLOCK FINANCIAL ADVISORS, INC., is represented by Steven Malina, Esq., Ungaretti & Harris, 3500 Three First National Plaza, Chicago, Illinois 60602. For Respondent: MORGAN STANLEY DEAN WITTER &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Martha-Ann Brehaut-Walker Names of the Respondents The Ohio Company n/k/a Fifth Third Securities Smith Barney, Inc. n/k/a Salomon Smith Barney, Inc. Case Number: 00-00372 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Martha-Ann Brehaut-Walker ("Walker"), hereinafter referred to as

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David W. Virtue 93-01752 Name of Respondent Albert J. Foid CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 3, 1993, Claimant David W. Virtue, who appeared Pro Se, alleged that on April 9, 1992 he was approached by Respondent Albert J. Ford of Hibbard Brown & Company, Inc

NASD STIPULATED AWARD Claimant Kemper Securities, Inc. f/k/a Kemper Securities Group, Inc. Respondents ) Case Number Kenneth Tripoli ) 93-01747 REPRESENTATION For Claimant, Kemper Securities, Inc. f/k/a Kemper Securities Group, Inc. ("Kemper"): A. Brad Busscher, Esq. of Kemper, Chicago, Illinois. For Respondent, Kenneth Tripoli: Marc Ross, Esq. of Bernstein & Wasserman, New York, New York. CASE INFORMATION Statement of Claim filed: April

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jacob R. Isken 93-01728 Name of Respondent Olde Discount Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 30, 1993, Claimant Jacob R. Isken, who appeared Pro Se, alleged that Respondent Olde Discount Corporation failed to timely notify him of the notice of i