N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Arlene Benson, as Trustee Sol Benson Non-Marital (Revocable) Trust UAD 2/25/87 93-03897 Name of Respondent Prudential Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 28, 1993, Claimant Arlene Benson, as Trustee, through her representative, Barry Alper, Secu

N A S D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John B. and Barbara P. Merrill 93-03749 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. National Associate nof Securities Dealers, Inc. All Rights Reserv CC CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 22, 1993, Claimants John B. and Barbara P. Me

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Valerie Chakedis 93-03721 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 21, 1993, Claimant Valerie Chakedis ("Claimant"), through her representative, Jill Levi, Esq., of Feltman, Karesh, Major & Farbman, located i

N A.S.D. HNAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEAI.ERS | ) ' ^ | I In the Matter of the Arbitration Between Name of Claimant John Wesley Keyes 93-03671 Name of Respondents FFP Securities, Inc. Kathleen Raggett Church On September 12, 1994 a hearing on the merits of the above captioned matter was conducted in Tampa Florida. Upon conclusion of the Claimants' case and upon indication from Clainiant that he had been fully and fairly h

AWARD NASD Regulation, Inc. ' In the Matter of the Arbitration Between Name of Claimant John E. Archibold and 98-00502 Name of Respondent U. S. Bank National Association a/k/a First Bank, National Association and a/k/a and d/b/a Colorado National Bank, U.S. Bancorp Investments, Inc. f/k/a FBS Investment Services, Inc., Cathleen Gunnison REPRESENTATION OF PARTIES John E. Archibold ("Claimant") was represented by William D. Nelson, Esq., S

—1 NASDR AWARD NA5DR INH OFFTCE OF niSPIITF RESOLUTTON In the matter of the Arbitration Between Name of Claimant R.W. Smith & Associates, Inc. NASDR Arbitration #94-03581 Name of Respondemisj Joseph R. Nickerson Kenneth Garvey Francis E. McAdams Michiel Tel kam p K.R. Butler, Inc. (aka Butler Larsen Pierce & Company Inc.) Eva M. Garvey Scott McAdams REPRESENTATION For Claimant: C. Dean Little. Esq.. Reed McClure. Seattle. W

N.A.S.D. AWARD • ' NATIONAL ASSOCIATION OF SECURITIES DEALERS '^//^/1'Cl9S In the Matter of the Arbitration Between Name of Claiinant M. Richard Vail 93-03593 Name of Respondents © National Association of Securities Dealers, Inc. Merrill Lynch Pierce Fenner & Smith, Inc. James R. Wright All Rights Reserved REPRESENTATION Claimant M. Richard Vail ("Claimant") was represented by Phil H. Leone, Esq., McKenna, Liska & Leone, Red Bank, N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Savas Psellas V. 93-03475 Name of Respondents s..^a:jc. D^i" Robert M. Cohen & Co,, Inc. 4,11 P, ^ James J. McKeever REPRESENTATION For Claimant, Savas Psellas, appeared Frank P. Buendo, Jr., Esq., of the law firm Hassett & Buendo , located in Springfield, Massachusetts. For Respondents, Robert M. Cohen & Company, Inc. and James

7-f N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Bernice Hamlet, Andre Hamlet et al. 93-03566 Name of Respondents JW Charles Securities, Inc. Peter L. Goffm REPRESENTATION For Claimants, Bernice Hamlet, Andre Hamlet and John J. Mancini ("The Hamlets & Mancini"): Gary M. Miller of Investors Arbitration Service Inc., Boca Raton, Florida. For Respondents, JW Charles

A AWARD NASD REGULATION. INC.. OFFICE QF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claiinant (a) Donald J. Wascher Arbitration No. 93-03381 Name of Respondentfs: Kennedy, Cabot & Co., Inc, REPRESENTATION For Claimant: Stephen M. Williams, Esq., Fitzgerald, Abbott & Beardsley, Oakland, California For Respondent: Herbert M. Barish, Esq., Glendale, California CASE INFORMATION NASD Regulation, Inc. (NASDR) Sec