N.A.S.D. AWARD NATIONAL ASSOCLITION OF SECURITIES I^ALERS In tiie Matter of the Arbiti^ation Between N^e 9f^'^^mV\ Alan B. Fisher 93-05420 Name of Resnondenfaji HU)erma Investment Securities, Inc.; Ltusy D. Turner; HoUy Seavey; Perahmg Division of DooaMson Lufkin & Jenrette Securities Coiporation REPRESENTATTON For Clahnant: Alan B. Fidier ("Fisher") was represented by WUliam H. Cook, Esq. of New Orieam, Louisiaiia. For Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration B^een Name nf Claiippnt Israel Shurkin Case # vs. 93-05418 Name of Respondent Oppenbeimer Sc Co., Inc. REPRESENTATION Claimant, Isn^l Shurkm ("Shurkhi"), was not represented by counsel. For Respondent, Oppenheimer & Co., Inc., ("Oppaiheimer"), los^h C. Pickard, Esq. m-house counsel, located in New York, New Yoric. CASE INFORMATION Statement o

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. New York , In the Matter of the Arbitration Between: Alfonso Galzarono Claimant, and Hanover Sterling & Company, Ltd. and Darren Shaaho, Respondents, NASD Case No. 93>05400 HANOVER STERLING & COMPANY, LTD. and DARREN SHASHO STATEMENT OF ANSWER Respondents, Darren Shasbo (hereinafter "Shasho") and Hanover Sterling & Company, Ltd. (hereinafter "Hanover") (hereinafter jointly referr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURIHES DEALERS In ttte Matter of the Arbitration Between ^ameof^tefaftan^ Fahnestock & Co., Inc. Gordon & Co. Aspen Capital Group, Inc. 93-05396 Name of Respondent Rafi M. Khan For CJahnants: Fahnestock & Co., Inc.("Fahnestock") and Gordon & Co.("Gordon") Richard F. Mark^ located m NevPYoik, New Yoik. For Claimant: Aspen Coital Group ("Aspen"), Andrew Petrie located in Denver, Colorado. For Res

93-05206 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Paul J. and Dyan M. KUhneyer Name of Respondent Peter A. Home REPRESENTATTON For Claimants: Paul J. KiUmeyer and Dyan M. KUlmeyer ("KUlmeyer") were represented by Joseph H. Spiegel, Esq. of Somhfield, Michigan. For Respondent: Peter A. Home appeared pro se. CASE INFORMATTOIST Statement of Claim filed: December 20, 1993. Clahnant'

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Betw^n AUce Lee Walker 93-05077 Name of Respondents Smith Barney Shearson, Inc. Carl Maxcey Marie Ahem In a claim filed with the National Association of Securities Dealers, Inc. on December 7, 1993, Clahnant AUce Lee WaUcer, who appeared Pro Se, aUeged that Respondent C^l Maxcey ("Maxcey"), a brok^ at Respomlent Smitii Bamey Shearson, Inc., made seve

NJV.SX>. AWARD NATIONAT. A.SSOCrATTOM OP SECURITmS PFAI.FRS. INC. In the matter of the Arbitration Between Name of Claimant James A. Brinton, M.D. V. NASD Arbitration Na 934)5056 Ronald P. Thon and Titan Value Equities Group, Inc REPRESENTATION For Claunant: Michael A. Oswald, Esq.. Oswald & Yap Irvine, California For Respondents: Fredrick A. Rafeedie, Esq.. Jones. BeU. Sunpson & Abbott, Los Angeles, CaUfornia CASEINFORMATTON S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAT.ER.S B. Alden Smith, Claunant, V. No. 93-04686 B.C. Christc^her Sc Company, hic., n/k/a MCW, Inc., Fahnstock St Co., IIK:., and Cential Vfe Assurance Con^any, Rjes{K}ndents. and MCW, Inc. Third Party Claunant Pmdential-Bache Securities, Inc. VMS Securities, Inc., Tiiird Party Respondents. REPRESENTATION OF PARTIES Claimant B. Alden Smith ("Clahnam")was represe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTIIES DEALERS In the Matter of the Arbitration Between P^gy J. Moore 93-04781 Name of Resnondent MerriU Lynch, Pierce, Fenner & Smitii, Inc. In a claim filed with tiie National Association of Securities Dealera. Inc. on November 18,1993, Ckhnant Peggy J. Moore, who appeared Pro Se, aUeged that Respondent MerriU Lynch, Pierce, Fomer & Smith, Inc., through Its registered rg)rBsentative, Jimmy Brunette, recomme

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Mert Ott, Claimant, 93-04646 PameWebber, Inc., Respondent riQNQF PARTIES Mert Ott ("Claunant") was represented by Antiiony J. Horn, Esq., PhUadelphia, Pennsylvania. PameWebber, Inc. ("Respondent") was represented by Aune Dempsey, Esq., of KeUey Drye & Wairen, New Yoric, New York. CASE INFORMATTON The Statement of Claun was filed on or a