NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbifration Between Name of Claimant Kenneth H. Rogers ^ NASD Case Number: 95-02729 Name of Respondent*^ Rick Alvira David Pappas Merrill Lynch, Pierce Fenner & Smith, Inc. Clamant Kenneth H. Rogers ("Claimant") was represented by Peter C. Schaberg, Esq. of Roesch & Schaberg located in Saline, Michigaa Respondents David Pappas ("Pappas") and MerriU Lynch, Pier

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Escam Trust No. 280905 Names of the Respondents Morgan Stanley & Co., Inc., a Delaware corporation; Morgan Stanley DW, Inc. f/k/a Morgan Stanley Dean Witter & Co., a Delaware corporation; J.W. Ray, an individual; and, Florence A. Sider, an individual Case Number: 01-06389 Hearing Site: Boca Raton, Florida Nature of Dispute: Customer vs. M

N.A.S.D. FINAL ORDER NATIONAL ASSOCL^TION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Clahnant Stephen Mann 95-02727 Name of Resnondent Hamilton Investments, Inc. REPRESENTATION For Claimant: Stephen Mann ("Maim") was represented by James L. Schwartz, Esq. of Schwartz & Spaulding, located in Chicago, Illinois. For Respondent: Hamilton Investments, Inc. ("Hamilton") was represented by Rosemarie J. Guadnolo, Esq. o

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Mitchell H. Walker and Case Number 95-02717 Names of Respondents Dean Witter Reynolds, Incorporated and Emily Cary REPRESENTATION OF PARTIES Claimant Mitchell H. Walker was represented by Dino Viera, Esq. of Fellers, Sinder, Blankenship, Bailey & Tippens located in Oklahoma City, Oklahoma. Respondents Dean Witter

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Perrin W. and Diamie Hurdle 95-02702 Name of Respondent A.G. Edwards & Sons, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June S, 199S, Claimants Perrin W. and Dianne Hurdle ("Claimants"), who appeared Pro Se, alleged that Respondent A.G. Edwards & Sons, Inc. ("Respondent"), gro

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James Tway 95-02680 Name of Respondents First Hanover Securities, Inc. Arthur Romano REPRESENTATION For claimant James Tway ("claimant") appeared Kevin P. Conway, Esq., of the law firm of Conway & Conway located in New York, New York. For respondems First Hanover Securities Inc. ("Hanover") and Arthur Romano ("Romano") ap

Award NASD Dispute Resolution In the Matter of the Arbitration Between: c: 01-06388 Gerald W.DiPiazza; Mary DiPiazza; Steven DiPiazza; John DiPiazza; Thomas DiPiazza; and, Thomas Nickerson A.G. Edwards & Sons, Inc. and Bruce J. Loder Milwaukee, Wisconsin OF Claimants Gerald W. DiPiazza ("G. DiPiazza"); Mary DiPiazza ("M. DiPiazza"); Steven DiPiazza ("S. DiPiazza"); John DiPiazza ("J. DiPiazza"); Thomas DiPiazza ("T. DiPiazza

N.A.S.D. REGULATION AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant James W. Schout, through Power of Attomey for Josephine R. Schout 95-02663 Name of Respondent.s Interstate Johnson Lane James Croom REPRESENTATION Claimant James W. Schout. through a Power Of Attomey for Josephine R. Schout ("Claimant") appeared Ktt^^tl^^^^ :i — ^-^-^ Wamement. Deputy General Sotte^Nc

J \ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTTIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) James W. Schout, Jr. 95-02695 Name of Respondent(s) Beacon Securities,Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 2, 1995, Claimant James W. Schout, Jr., who appeared Pro Se, alleged that Respondent Beacon Securities Inc. mishandled his account when it execut

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph and Patricia Zaccone 95-02639 Name of Respondents Smith Barney Shearson, Inc. Andrew Kenny CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on Claimants Joseph and Patricia Zaccone ("Claimants"), who appeared Pro Se, alleged that in July of 1994, Respondent Smith Barney Shearson,