: ,V.':-;';L AS:*C»C1ATION Oii SEClJRnSiCS UK/;.:..;.; 94-03024 hi liw Matter of the Arbitration Between Name ot Claimantfsi Richard McAllaster Name of ResDondent(s) Merrill Lynch Pierce Fenner & Smith Inc Robert Hanunett Thome REPRESENTATION For Claimant Richard McAllaster: Thomas O. Birge, Esq. ofthe law firm of Brega and Winters, P.C, Denver, CO., Stanley E. Harris, Jr.. Esq. of the law firm of Karsman, Brooks and Callaway, PC. Sa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William J. Stavaridis (Claimant) v. Morgan Stanley DW, Inc. and Jason Diaz (Respondents) Case Number: 01-05768 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant William J. Stavaridis ("Stavaridis") hereinafter referred to as "Claimant": Thomas H. Tucker, Esq., Duxbury, MA. Respondent Morgan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTTIES DEALERS In the Matter of the Aibitiation Between Name of Claimam William C. Trcmmel Case No. 94-03022 B.C.Christopher Securities Co. William Michael Tremmd REPRESENTATION For Claimam, William C. Tiemmel ("WCT"): Pro Se. For Respondem, B. C. Christopher Securities Co., ("BCS"): J. Michael Vaughan. Esq. of Weisenfels A Vaughan, Kansas City, Missouri. For Third Patty Respondem, WUliam M. Tre

N.A.S.D. AWARD NATIONAL ASSOCIAITON OF SECURITIES DEALERS In the Matter of the Arbitiation Between Name of Claimant Arthur W. McDaniek 94-03018 SfamggfBwwndMK Wayne Addams Beithel, Fisher & Co. Financial Services, Inc. CASE SUMMARY In a cbim filed with the National Associatioa of Securities Dealers, Inc. on August 2, 1994 Claimant Arthur W. McDaUiels ("Oahnant"), who appeared PID Se, aUeged that Respondents Berthel, Fisher, A Co. Hnancia

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECimiTIES DEALERS In the Matter of the Arbitration Between David B. and Cecelia A. Heftel 94-03014 Mffffl9fRWP9PJflW Citicorp Investment Services gASBSVMMWY In a claim filed widi die National Association of Securities Dealers, Inc. on August U 1994. Claimancs, David B. and Cecelia A. Heftel, who appeared Pro Se, alleged that Respondent, Citicorp Investment Services, caused them damages for failure to timel

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbit:ration Between Name of Claimant Abner Spector Case No. 94-02999 Name of Respondents G.K.N. Securities Corp. Scott Brown REPRESENTATION For Claimant, Abner Spector ("Spector"): William R. Ponsoldt, Jr., Esq. of Kohl, Metzger and Spotts, P.A.. Stuart, Florida. For Respondents, GKN Securities Corp. ("GKN") and Scgtt Brown ("Brown"): Katherine Nathan

N.A.S.D. AWARD NA'nONAL ASSOCIA'nON OF SECURmES DEALERS In the Matter of the Aibitration Between Wamfftfaaiimtfg) J. Wayne Madden 94-02997 NameofResDondentfs^ Charles T. Bennett Jordan R. Belfort Kenneth S. Greene Daniel M, Pomsh Joidan I. Shamah Irving Stitsky Howard S. Gelfand Neil L. Kippennan REPRESENTATION The Clainiant aqipeared pro se. For Respondents: Stephen B. Wexler, Esq. of die law firm of Wexler and Burid

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Salvador Gomez; Neda Kordich, Clumants, V. NASD No. 94-2950 R. S. R. Capital Group, Inc.; Alan M. Stahl, Respondents. RepresentatioH For Claimants: Robert Uhl, Esq. of Aidikoff & Kesluk, Los Angeles. California For Respondent R. S. R. Capital Group, Inc. (RSR): Robert Goldiried, Esq. of Richards, Weston & Gershon, Los Angeles, Califomia For Responde

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECLIUTIES DEALERS In the Matter of the Arbitration Between FideUty Brokerage Services, Inc. Award No. vs. 94-02949 Name of t^esnondents Beryl iuid Gerard Gray RETRESENTATION For Clainiant, Fidelity Brokerage Services, Inc. ("Claimant"). Thomas J. Hennessey, Esq. from die law firm of Bingham, Dana A Gould, located in Boston, Ma.ssachusetts. For Respondents, Beryl I Lungren-Gray and Gerard Gray ("Responde

N.A.S.D. AWARD NATIONAL ASSOCL\TTON OF SECLIUTIES DEALERS In the Matter of the Arbitration Between fslame of Claimantfsi Eari Callison 94-02486 Name of Resoondentfs^ Fidelity Investments CASE SL-MMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 28, 1994, Claimam Eari Callison, who appeared Pro Se, alleged that Respondent Fidelity Investments failed to execute a transaction. Claimant further alleged that