NASD REGULATION, INC. AWARD NASD REGULATION, INC., Office of Dispute Resolution Moors & Cabot, Inc. Claimant V. Legg Mason Wood Walker, Inc. Thomas J. Fox Respondents Case No. 95-05851 REPRESENTATION Claimant Moors & Cabot, Inc. ("Moors & Cabof) was represented at the hearing by Sander A. Rikleen, Esq. and Marc G. Guggenheim, Esq. of Hutchins, Wheeler & Dittmar, of Boston, Massachusetts Respondent Legg Mason Wood Walker, Inc. ("Legg Ma

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbilralion Between Name of Claimant E. Lucille Raffely 95-05830 Name of Respondent Timothy S. Hester CASE SUMMARY In a claim filed with the National Association of Securilies Dealers, Inc. on December 13, 1995, Claimant E. Lucille Raffely ("Claimant") who appeared Pro Se, alleged that Respondent Timothy S. Hester ("Respondent") on April 22, 1993, recommended dial s

AWARD NASD Regulation, Incorporated Office of Dispute Resolution In the Matter of Arbitration Between Stephen Smith, Patsy R. Miller, Bobbie Smith, and Charlotte Smith, Claimants, and No. 95-05820 Addison Securities, Inc., John D. Stein, Bmce E. Zucker, and Jaz Investments, Respondents. REPRESENTATION OF PARTIES Claimants, Stephen Smith, Patsy R. MiUer, Bobbie Smith, and Charlotte Smith (hereinafter collectively referred to as "Claimants")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Clatmanl(s) Nola M. Peterson Paul N. Breyer CONSOLIDATED AWARD Name of RespondenUs) 95-05818 and 95-05821 Merrill Lynch Pierce Fenner & Smith, Inc. Roben L. Dayton Susan Sullivan CASE SUMMARY In a claim filed with the National Association of Securifies Dealers, Inc. on December 12, 1995, Claimant Nola M. Peterson, who appeared Pro Se,

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Arthur Feldman 95-05814 Name of Respondenls American Tmst Securities Corp. Robert McManus Michelle Hutchinson Laurence T. Winstanley REPRESENTATION Claimant Arthur Feldman ("Claimant") was represented by Edward G. Werner, Esq. of the law firm of Kalmus & Martuscello, New York, New York. Respondent Am

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants H. R. and Sabitha Rao 95-05807 Name oT Respondent Joseph Roberts & Co., Inc. Rooz Eftekhari CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 12, 1995, Claimants H.R. and Sabitha Rao ("Claimants"), who appeared Pro Se dirough H.R. Rao ("Rao"), alleged that Respondent Joseph R

NASD FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Philip O, Martin and Darlene J. Martin, Claimants, V. No. 95-05800 PaineWebber, Inc. and First Chicago Tmst Company of New York, Respondents. REPRESENTATION OF PARTIES Claimants Philip O. Martin and Darlene J. Martin represented themselves. Respondent PaineWebber, Inc. was represented by Romaine Gardner, Esquire of PaineWebber, Inc.,

S A.S.iX AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbilralion Between Name of Claimant David Rosenbloom 95-05702 Name of Respondents Pershing / Div. of DU Securilies Corp. Your Discount Broker CASE SUMMARY In a claim filed with the Nafional Association of Securifies Dealers, Inc. on December 5, 1995, Claimant David Rosenbloom ("Claimant"), who appeared Pro Se, alleged dial Respondent Your Discount Broker ("Resp

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATTON. TNC. CASE: 95-05785 Terry Kraemer, claimant v. F.N. Wolf & Co., Inc. and Cameron White, respondents. ATTORNEYS: For Claimant Claimant appeared pro se - Lakeland. FL. Respondent Franklin N. Wolf is bankmpt. Respondent Cameron White, appeared pro se - Jacksonville, FL. DATE FILED: 12/11/95. CASE SUMMARY: Claimant alleged unsuitability and misrepresentation in the sale o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitralion Between Name of Claimant Gerald G. Prouty 95-05784 Name of Respondent Charles Schwab & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 11, 1995, Claimant Gerald G. Prouty ("Claimant"), who appeared Pro Se, alleged that Respondent Charles Schwab «& Company, Inc. failed to properly execute h