NASD Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Case Number: 01-05772 A.G. Edwards & Sons, Inc. Name of the Respondent Hearing Site: Atlanta, Georgia Timothy C. Moses Member vs. Customer. REPRESENTATION OF PARTIES For A.G. Edwards & Sons, Inc. ("Edwards"), hereinafter referred to as "Claimant": Phyllis A. Hartrich, Regulatory Counsel, Edwards, St. Louis, Missouri. Timothy C. Moses ("Moses"), hereinafter ref

N.AS.n. AWAWn NATIONAL ASSnrTATTQN OF SECURTTTRS nKArKRS. INC. In the matter of the Arbitiation Between NamcftfClaimamf;?) Wilshire-Dayton Fine Arts, Inc. NASD Aibitration No. 94-02976 Name of Respondents^ William S. Gallagher, William J. Gallagher & Co., Inc., Harry Glicksman & Alyse Glicksman MEPRESENTATTnN For Claimant: For Respondents: Michael D. Davis, Esq. Law Offices of Michael D. Davis Irvine, Califomia James Bolton L

N.A.S.D. AWARD NATIONAL ASSOCXATIOV OF SSCDRITIIS DEALKRS In the Mattar of che Arbicraciaa Betwacn wart* of Clainumt Gabelli & Company, Inc. Blisabath R. Brammll 94-02968 For Claimanc Oaballl & Co., Inc. (hereinafter referred to aa "Qaballi") anpaarad Steven M. Kaynan, Kaq. with the law firm of Proakauar lloaa Ooata & Muutelaohn LLP, BTaw York City, Maw York. At tha hearing Jaiwa K. McKee,Baq. ia-houae counaal at Qaballi 6 Co., Inc. appeared en

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLIUTIES DEALERS In the Matter of the Arbitration Between NameofClaimantfs) Ruth W. Fettes 94-03123 NamenfRemondentfs^ Lloyd W. Graham Croweil, Weedon A Co CASE SUMMARY In a ctiim filed with the National Association of Secuiities Dealen Inc. on August 8, 1994, Claimant Ruth W. Fettes. w]|o appeared Pro Se, alleged that Reqxmdent Crowell, Weedon A Co., through it registered representative, Lloyd W.

H.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Name of Claimant Prudential Securities Inc 94-03117 Wame of Respondent Timothy A. Corbett Clainant Prudential Securities, Inc. ("Claimant") was represented by Christopher Freeze, Assistant General Counsel, Prudential Securities, Inc., New York, NY Respondent Timothy A. Corbett ("Respondent") appeared pro se CASE INFORMATION Claimant's S

N.A.5.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lawrence A. Grolemund 94-03116 Name of Respondent Pmdential Securities, Inc. REPRESENTATION For Claimant/Counterrespondent Lawrence A. Grolemund ("Grolemund"): Guy M. Bums, Esq., of Johnson, Blakely. Pope, Bokor, Ruppel & Bums, P.A., Tampa. Florida. For Respondent/Counterclaimant Prudential Securities, Inc. ("PSI"): Jatiet M. S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SKCURITIES DEALERS In the Matter of the Arbitration Between Apollo Menachem 94-03115 Name of Respondent Inveiitex Securities Group Claimant Apollo Menachem ("Claimant") appeared pro se. For Respondent Investex Securities Group ("Respondent") appeared Alfred N. Schrott. Chief Financial Officer of Investex Securities Group, Inc. Statement of Claim filed: July 18, 1994 Claimant\s Submission Agreement signe

N.A.S.D. AWARD NATIONAL ASSOCIATION OT SECURmES DEALERS In the Matter of the Arbitration Between Name of qaimant Tracey MicbeUe Zerkle 94-03035 Name of Respondem New England Secuiities Corp. CASE SUMMARY In a chum filed with the National Association of Securities Dealers, Inc. on August 2, 1994, Claimant Ttacey Michelle Zeifcle, thiough her representative Brian B. Evans, Esq., Tampa, FL, aUeged that Respondent New England Secuiities Corp. br

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECLIUTIES DEALERS In the Maner of the Arbitration Between NameofClaimantf^) A. Reading Van Doren **4-03034 ilame vf R^p9ntfW^(5) .Stratton Oalunont Inc. Williani L. Davidson Paul F. Byrne CASE SUMMARY In a claim filed with che National Association of Securities Dealers, Inc. on August 2, 1994. Claimant A. Reading Van Doren, through his counsel, A. Reading Van Doren. Jr. of Stapper & Van Doren, New

NATIONAL ASSOaATION OF SECURITIES DEALERS AWARD In the matter ofthe Arbitration Between John C. Chiu Family Limited Parmership - C NASD Arbitration v. No. 94-03033 Dean Witter Reynolds, Inc. James Allen Walker Patrick Francis Walsh V. John C. Chiu Susan E. Chiu REPRESENTATION For Claimant and Counter^Respondents: John E. Sweeney, Esq., Sweeney A Associates, Agoura Hills, Califomia For Respondents and Coimter-Claimaiits: Micha