? N.A.S.D. AWARD NATIONAL ASSOCLVTION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dorothy M. Phelps 95-03424 Name of Respondent Merrill Lynch, Pierce, Feimer & Smith, Inc CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 17, 1995, Claimant Dorothy M. Phelps, who appeared Pro Se, alleged that Respondent Merrill Lynch, Pierce, 8c Smith, Inc. purchased securitie

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Reinhold Probst Case No. 98-01184 Investors Associates, Inc. Wexford Clearing Services Corp. John Storey, Jr. Josq)h John Mandaro Dennis Vavasis Herman Epstein Douglas John Mangan Vincent Grieco Robert Nicholas Conforte, Jr. REPRESENTATION OF PARTIES For Claimant Reinhold Probst ("Probst"): Allan J. Fedor. Esq., Law Offices of Fedor & Fedo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the .Matter of the Arbitration Between N'jme of Claimants .Michael R. and Lauren Hubbell 95-03359 Name '>f Respondents Sterling Foster & Company. Inc. David S. Abish Stephen V. Fiorelli CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 13, 1995, Claimants Michael R. and Lauren Hubbell ("Claimants"), who appeared Pro Se, alleged that R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Charles F. & Linda J. Detweiler 95-03321 Name of Respondentfs) Andrew A. Keach L.C. Wegard & Co.,Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 11, 1995, Claimant, Charles F. and Linda J. Detweiler, alleged that Respondent L.C. Wegard and Co., Inc., through its account

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Stephen I. Katz and NASD Case Number: 95-02693 Name of Respondents JMS Securities Stewart Flink REPRESENTATION OF PARTIES Claimant Stephen I. Katz appeared pro se. Respondents JMS Securities and Stewart Flink were represented by Evan L. Gordon, Esq. of New York, New York. CASE INFORMATION The Statement of Claim was

AWARD NASD REGULA-nON, INC. In die Matter of die Arbitration Between Name of Claimant Paul L. Gagnon Case No. vs. " 95-02563 Name of Respondent Toluca Pacific Securities Corp. REPRESENTATION For Claimant, Paul Gagnon ("Claimant"), appeared on his own behalf and is located in Massachusetts. Respondent Toluca Pacific Securities Corp. ("Respondent"), did not appear at die hearing and is located in Toluca Lake, Califomia. (See "Other Issues Co

N.A.S.D. AWARD Brent C. Bechtle, Claimant, qi^fS^^'^^''^^' ^^^rce, Fenner & " °2385 Smith, Inc. Respondent. REPRESENTATICIM ni? r^js^j^TTrr, located in Minneapolis, Ml ' ' ^"^'^"brich & Kaufman, Ltd ("Respondent") located in^SSwYoS S?: ^ ^"^i*^^' ^n^- CASE TMFORMATTrtw The Statement of Claim was filed on or about May 15, 1995 The Clalmanfa Submission Agreement was signed on May 3 1995 The Statement of Answer was filed by Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Laurie Josephine Bennett 95-02382 Paul Bernard Zoch Zoch & Zoch Financial Group, Inc. Greta E. Tibbets Daniel A. Baseggio CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 17, 1995, Claimant Laurie Josephine Bennett ("Claimant"), who appeared Pro Se, alleged that in 1986 she opened

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the "^latter of the Arbitration Between Name of Claimant Joan M. Ludmar 95-02380 Name of Respondents Vicki Santello Norman R. Gohr CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 17, 1995, Claimant Joan M. Ludmar, Ph.D., ("Claimant"), who appeared Pro Se, alleged that Respondents Vicki Santello ("Santello"), and Norman R. Gohr ("Gohr

N.A.S.D AWARD NATIONAL .\SSOCIATION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert John Wurth 95-02379 Name of Respondents Olde Discount Corp. Joseph G Nivision CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 17, 1995 Claimant Robert John Wurth ("Claimant"), who appeared Pro Se, alleged that he held account #199-00757 with Respondent Olde Discount Corp.