N.A.S.D. FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elizabeth Rapinz 97-00979 FINAL ORDER Name of Respondents Linda Rae Travesari Maxus Securities Corporation CASE HISTORY Claimant Elizabeth Rapinz ("Claimant") was represented by Timothy N. Toma, Esq., Euclid, OH. Respondent Linda Rae Traversari, a,k.a. Linda R. Kidd ("Traversad") filed a Statement of Answer pro se

NASD REGULATION, INC. - AWARD In the Matter of the Arbitration Between Name of Claimant Linda A. Hoffman 97-00975 Name of Respondents Thos. K. Wasserman & Associates Timothy D. Trimmer REPRESENTATION Claimant Linda A. Hoffman ("Claimant") was represented by Nicholas D. Thomas, Esq. of the Law Office of Nicholas D. Thomas, Raleigh N.C. Respondent Thos. K. Wasserman & Assoc., Inc. ("TKW") was represented at the hearing by Scoit B. Wasserma

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-00973 David G. Hassi and Edwina K. Hassi, claimant vs. Kensington Wells, Inc., respondent. ATTORNEYS: Claimants appeared Pro Sc, Pleasantville, NY. For Respondent Kensington Wells, Inc. appeared, Howard S. Eilen, Esq., Uniondale, NY. DATE FILED: February 24, 1997. CASE SUMMARY: Claimant alleged that respondent failed to execute sell orders regarding Videol

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-00972 _ Alan N, Smith, claimant vs. Cressida Capita], Inc. f/k/a Norfolk Securities Corp., Christopher Mormando, Jeffrey Vanblarcom and Rondo Hosang, respondents. ATTORNEYS: For Claimant appeared Frank X. Acocella, Scarsdale, NY. Respondents Cressida Capital, Inc., Jeffrey Vanblarcom and Rondo Hosang did not respond to the Statement of Claim, For Responden

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS RF/fULATIQN. INC. CASE: 97-00971 Harold Bollinger, claimant vs. William Scott & Co., Joseph w. Glodek, Thomas Turnure, Frank Persico and Frank Luppo, respondents. ATTORNEYS: For Claimant appeared D.G. Kociban - representative, Beverly Hills, CA. For Respondents appeared William S. Greenawalt, Esq., of the law firm Loselle, Greenawalt, Kaplan, Blair & Adler, NOT/ York, NY. DATE FILE

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Hazel Allan v. Arbitration No. 97-00969 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION For Claimant: Nancy K. Undem, Esq. Law Offices of Nancy Undem Montecito, California For Respondent: Lauren S. Forbes, Esq. Keesal, Young & Logan Long Beach, California CASE INFORMATION St

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-00961 Mary Jane Valentine, claimant vs. Dean Witter Reynolds, Inc., Irving Stein and Robert Weber, respondents. ATTORNEYS: For Claimant appeared Firmin A. Puricelli, Esq., Clayton, MO. For Respondents appeared Darcy J. Gomez of Dean Witter Reynolds, Inc., San Francisco, CA. DATE FILED: February 24, 1997 CASE SUMMARY: Claimant alleged that respondents sold

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Charles F, Huschle, FII NASD CASE NO. 97-00959 Name of Respondents A.G. Edwards & Sons, Inc. and John Jackson REPRESENTATION The Claimant appeared pro se. For Respondents A.G. Edwards & Sons, Inc. ("Edwards") and John Jackson ("Jackson"): Michael Gates, Esq., Legal Counsel of A.G. Edwards & Sons, Inc. CASE INFORMATION

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Janney Montgomery Scott LLC, (Claimant) vs. William J. Reilly, Marielle T. Reilly, Shamrock Holdings LLC, and Waterford Financial Group LLC, (Respondents) Case Number: 00-01815 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Janney Montgomery Scott LLC, hereinafter referred to as "Claimant": Lionel G. Hest, Esq., Fulbright & Jaworski, L.L.P., Ne

MAY-.3S-38 39:44 FROM = NASD REGULATION INC. ID PAGE 15X33 NASD REGULATION, INC. AWARD NASD REGULATION^ INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Alex Khatibi v. Name of Respondent Charles Schwab & Co., Inc. Arbitration No* 97-00952 REPRESENTATION For Claimant: For Respondent: Alex Khatibi In Pro Per Los Angeles, California Rhonda Y. Jones, Esq. Charles Sc