N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Eric R. Knaak 95-02377 Name of Respondents Donald W. Rue Glenn C. Parham Cohig & Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 17, 1995, Claimant Eric R. Knaak ("Claimant"), who appeared Pro Se, alleged that Respondent Glenn C. Parham ("Parham"), as a repre

N.A.S.D. AWARD NATIONAL ASSOCLVTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John B. Thompson 95-02566 Name of Re.spondents Linsco/Private Ledger Corp. Thomas G. Bennett Jerry W. Devins REPRESENTATTOIV Claimant John B. Thompson ("Thompson") appeared pro se. For respondent Linsco/Private Ledger Corp. ("Linsco") appeared David J. Freniere Esq of Linsco/Pnvate Ledger Corp., located in Boston, Massach

N.A.S.D. AWARD NA-nONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of tbe Arbitration Between Name of Claunants Sam Z. Mall in 8c Ellen M. Gordon 96-00851 Name of Respondent Waterhouse Securities Inc, CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on Febmary 26,1996, Claimants Sam Z. Mallin and EUen M. Gordon ("Claimants"), who appeared Pro Se, alleged that Respondent Waterhouse Securities, Inc. ("

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION QF SECURnms nFALTOtS CASE: 96-04194 The Rotto Fiunily Trust by Tmstees Daniel Rotto and Helen Rotto and Daniel Rotto, IRA. claimants vs. Sutio & Co. Inc. and Gabriel Wisdom, respondents. I ATTORNEYS: For Claimant appeared Arthur S. Leider of the furm, Investors Arbitration Specialist, Inc., San Diego, CA. For Reqwndents appeared Brian G. Amold, Esq., of tiie fijrm Jones, Bell, Abbott, Fleming & Fitzi^rald

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05819 Frank G. Potts, claimant vs. Ian Hosang, Nicholas Briganti, Norfolk Securities Corp., n/k/a Cressida Capital, Inc., and Jeffrey A. VanBlarcom respondents. ATTORNEYS: Claimant appeared Pro Se, Montgomery, AL. Respondents Ian Hosang and Jeffiey A. Van Blarcom were dismissed without prejudice by the claimant, prior to the decision on the merits. Respondem

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTiON in the Matter of the Arbitratton Between Name of Claimant/Cnifp^y-Ri^pj^^^|^ Abraham & Sons Limited Partnerehip Stockton Reinsurance Umited; 90-04640 Nama of Coufitw-ReBPQnd^r^g Abiaham & Sons Capital, Inc. Brett G. Brubaker For Clalmant/Counter-Re8pondent»:Abraham and Sbna Umited PartnershlpCASLP")- Abraham & BrubakerCBrubakeOwere represented by Ame Rode. Esq of Chicago. Illinois. M

AHAKD HA^ Regulation, Ine. Office of Dispute Resolution In the Matter of the Arbitration Between Southwest Securities, Inc. 96-04287 Name of Respondent Shawn Stuckey Southwest Securities, Inc. ("Claimant") was represented by Jerome S. Wade, Vice President/General Counsel of Southwest Securities, located in Dallas, Texas. Shawn Stuclcey ("Respondent") was represented by Douglas K. Magary, Esq. of Jones & Magary, located in Dallas, Texas. CA8R I

N.A.S.D. REGULATION AWARD NATIONAL ASSOCLVTION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Roger P. and Judith A. Anderson 96-04235 Name of Respondents Ferris Baker Watts & Conqiany, Incorporated Gary Richman Jerald Lewis REPRESENTATION Claimants Roger P. and Judith A. Anderson ("Claunants") were represented by D. Christopher Ohly, Esq., Patton Boggs, Baltimore, MD. Respondents Ferr

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Michael Appelbaum vs. Nan^e nf Resixindent Pmdential Securities, Inc. Case No. 96-04941 REPRESENTATION For Claimant Michael Appelbaum ("Claimant") appeared David Crystal, II, Esq. of the law offices Gilbride, Tusa, Last & Spellane, LLC, located m New York, New York. For Respondent Pmdential Securities, Inc. ("Respondent") appeared Stephen L. Ratner, E

N.A.S.D. REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitradon Between Nan« of Claimant JohnJ. Foley Name nf R&spondent Advest, Inc. 96-03870 REPRESENTATION For Claimant John J. Foley ("Claimant") speared Richard L. Burstein, Esq. of die law firm of Fernandez & Burstein, P.C. located ui Albany, New York. For Respondent Advest, Inc. ("Advest") appeared Roland M. Cavalier of the law firm of Harris, Beach & Wilco