NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant MRS Investments 95-02409 Name of Respondents Paulson Investment Company Inc. Investors Associates Inc. REPRESENTATION For Claimant MRS Investments ("Claimant"), appeared Robert J. Poulson, Jr., Esq. of New York, NY. For Respondent Paulson Investment Company Inc. ("Paulson"), appeared Kenneth D. Stephens, Esq. of Tonkon Torp Galen Marmaduke & Booth located in New Yo

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Richard Settie and Case Number 95-02314 Names of Respondents Shearson Lehman Brothers, Inc., American Express and Richard Walsh REPRESENTATION OF PARTIES Claimant Richard Settle was represented by Roy S. Dale, Esq. and Bill Mount, Esq. of Dale & Klein, LLP located in McAllen, TX. Respondents Shearson Lehman Brothe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS I In the Matter of the Arbitration Between Name of Claimant Dixie McMills 95-02291 i Name of Respondents First Affiliated Securities Henry R. Fisher CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 11, 1995, Claimant Dixie McMills ("Claimant"), through her representative, Robert M. Roth, of R.M. Roth & Associates, located in Appl

AWARD NATIONAL ASSOCIATION OF SECURFTIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimaiit Novoplus, Inc. 95-02289 Names of Respondents Josephthal Lyon & Ross Inc. Anthony Cheverez D. Blech & Co., Inc. REPRESENTATION For Claimant Novoplus, Inc.: Curtis Carlson, Esq. of Carlson & Bales, Miami, Florida. For Respondent Josephthal, Lyon & Ross, Inc. ("Josephthal"): Brian J. Neville, Esq., New York, New Yor

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Dorothy S. LampI 95-02284 Name of Respondent Bear Steams & Company, Inc, REPRESENTATION Claimant Dorothy S. Lampl ("Claimant") was represented by E. David Margolis, Esq., Gismondi & Margolis, Pittsburgh, PA. Respondent Bear Steams & Co. ("Respondent") was represented by Alan Gelb, Esq., Fischbein, Badillo,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jack Feeney 95-02264 Name of Respondents Robert A. Dwyer First Security Investments, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 10, 1995, Claimant Jack Feeney ("Claimant"), who appeared Pro Se, alleged that Respondent Robert A. Dwyer ("Dwyer"), "moved Mr. Feeney's accou

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Greg Deininger 95-02239 Name of Respondents Sovereign Equity Management Corp Robert A. Magnan REPRESENTATION For Claimant: Allan J. Fedor, Esq. of the law firm of Fedor & Fedor, Largo, Horida. For Respondents: H. Thomas Fehn, Esq. of the law firm of Fields, Fehn & Sherwin, Los Angeles, Califomia. CASE INFORMATION Stat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Beverly A. Douglass Charles Faull Susan J. Goodman 95-02216 Name of Respondent(s) NationsSecurities CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 8, 1995, Claimants Beverly A. Douglass, Charles Faull and Susan J. Goodman, who appeared Pro Se, alleged that Respondent Nati

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Aleluya Ltd., Walter Zeinal Aljadeff, Ana Maria Menendez, Walter David Z. Menendez, and Ana Oro Z. Menendez, Claimants V Merrill Lynch Pierce Fenner & Smith Inc., AH H. Alasari, and Dean A. Snyder, Respondents Case Number: 01-06382 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Jeff

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph S. Calabrese 95-02202 Name of Respondents PaineWebber. Inc. S.C. Parker & Co.. Inc. Rosemary Ligotti REPRESEIVTATION For Claimant Joseph S. Calabrese ("Claimant") appeared Kyle Calabrese. For Respondents PaineWebber, Inc. ("PaineWebber") and S.C. Parker & Co., Inc. ("S.C. Parker") appeared John M. Curran, Esq. of t