N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of Claimam J.W. Barclay & Co., Inc. 94-02705 Name of Respondent Andrew Gonzales CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 13, 1994, Claimant J.W. Barclay & Co., Inc., through its representative, Joseph A. Bruno, alleged that Respondent Andrew Gonzales was employed by Claimant as a Regis

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantrsl Joseph P. & Patricia A. Cohill 94-02704 NameofResDondentfs^ Thomas James Associates, Inc. Sherri Lynn Mathers CASE SUMMARY In a claim filed with the National Association of Securities Dealen'on July S, 1994, Claimants Joseph P. and Patricia A. Cohill. appearing pro se. alleged that Respondents Thomas James Associates, In

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter ofthe Arbitration Between Name of Claimant Albert Grinis and Lillie H. Grinis and 94-02703 Name of Respondent Olde Discount Corporation Allen Helm REPRESENTATION OF PARTIES Albert Grinis and Lillie H. Grinis ("Claimants") were represented by William S. Shepherd, Esq., William S. Shepherd & Associates, P.A., Houston, Texas. Olde Discount Corporation ("Respondent Old

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Earl A. King and Donald King V. 01-05736 Minneapolis, Minnesota Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. and Jerry A. Hagenbrock REPRESENTATION OF PARTIES Earl A. King and Donald King ("Claimants") were represented by Michael E. Orman, Esq., of Orman & Nord, Duluth, Minnesota. Citigroup Global Markets, Inc. f/k/a Salomon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Marcclla M. Wooton, Claimant. V. No. 94-02699 Thomas F. White & Co., Inc.. Respondent. REPRESENTATION OF PARTIES Claimant Marcella M. Wooton ("Claimam") was represented by Jon A. Titus, Esq., of Titus, Brueckner & Beny, P.C, Phoenix, Arizona. Respondent Thomas F. White & Co., Inc. ("Respondent") was initially represented by Patrick A. Baldwin. Esq., Menlo Park, California. Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of che Arbitration Between Brandon & Shari F^chiere 94-02698 Name nf Respondent Charles Schwab & Company, Inc. REPRESENTATION For Claimants: Brandon Falchiete, Brooklyn, New York. For Respondent: Scott Jenson of Charles Schwab & Company, Inc., located in New York, New Yoric. CASE INFORMATION Statement of Claim filed: July 13, 1994. Claimant's Submission Agreemem

N.A.S.D. AHARD MATIOmOi ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Name of Claimant Quinton L. Christophe 94-02697 Name of Respondents Nathan Alphonso Chapman, Jr. The Chapman Co. Claimant Quinton L. Christophe ("Claimant'*) was represented at the hearing by Paul J. Sussnan, Esq. of the Law Offices of Paul J. Sussman, Chicago, Illinois. Respondents Nathan Alphonse Chapman, Jr., and The Chapman Co. ("Re

NASD Arbitration No. 94-02695 M.A.S.D. AWARD NATIONAL AgfiOCIATTQN OF SErtTRTTIES DEALERfl. TNC In the matter of the Arbitration Between Name of Claimantfal Richard Emil Totms WamP nf Reanondftntf«\ Smith Bamey Shearson Inc. David Marshall MPRBflgMTATTQM For ClaimeUit: Richard Emil Towns, Beaverton, Oregon For Respondents: Sean J. Coughlin, Esq., Smith Bamey Inc., New York, New York CAflg IMPQRMITIQM Statement of Claim filed

NASD FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter ofthe Aibitration Between Commonwealth Holdings, Claimams, v. No. 94-02687 Camelot Investmem Corp., Respondem. REPRESENTATION OF FARTTBS Claimant Commonwealth Holdings was represented by Bill Cook, located in Dallas, Texas. Respondent Camelot Investment Corp. was represented by John J. Fasano of Camelot Investmem Corp. located in Hauppauge, New York. CASE INT

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTTIES DEALERS In the Matter of the Aibitration Between Name of Claimant Amandio Pereira 94^2683 Name of Respondents Smith Barney. Harris, Upham & Co.. Inc. Richard M. Strauss CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc... on July 12, 1994, Claimant Amandio Pereira, through his representative, Martin J. Gofberg, Fort Lauderdale, FL., aUeged that Respond