1 N.A.S.D. AWARD NATIONAL ASSOCIA'nON OF SECURITIES DEALERS In the Mattw of the Aibitration Between WfliPf^^liimant Anna Z. Thomas 94-03184 Susan E. Nyb«g CASE SUMMARY In a claim filed widi the Natiomd Association of Securities Dealers, Inc. on August 11, 1994, Qaimant, Anna Z. Ihomas, who appeared Pro Se, alleged diat Respondem, Susan E. Nyberg, did not properly manage her account. Chdmant fiutiier alleged diat during June of 1989 she sold

N.A.S.D. AWARD NA'nONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between yain9 9fgl#iWtf?) Sherwin D. and Adele W. Podolsky 94-03183 Name of Respondentf s^ Merrill Lynch, Pierce, Fenner & Smith, Inc. Patrick Bass CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 11, 1994, Claimants Sherwin D. and Adele W. Podolsky, who appeared pro se, alleged that Respondents Merr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Lance R. Heisler 94-03182 A Name of Respondents Hanover, Sterling & Co., Ltd. Darren J. Shasho CASE SUMMARY In a chum filed with the National Association of Securities Dealera, Inc. on August 11, 1994, Chumant Lance R. Heisler, who appeared Pro Se, alleged that Respondent Darren J. Shasho, made two unauthorized purdoses against Claimant's a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURmES DEALERS In the Matter of the Arbitration Between Name of Claimants) Daniel and Sandra Aviv 94-(B180 Name of Resoondentf si Camelot Investment Coip. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 11, 1994, Claimants Daniel and Sandra Aviv, who appeared Pro Se, alleged that Respondent Camelot Investment Corp. failed to transfer their account out

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between TSran,^ynfq;,imantr«^ Warren C. McCraiy 94-03173 NameofResnondentfal Okie Discount Corporation Bd Guest REPRESENTATION i^ •«» For Claimant, Wanen C. McCiaiy ("McCraiy"): Robert J. Wuudd, Esq. of the law office of Robert J. Wuucld, Jacksonville, Florida. For Respondents, Olde Discount Corp. ("Olde") and Ed Guest ("Guest"): Karen Brink, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Craig Jones, Claimant v. Interfirst Capital Corporation, Interfirst Holdings, Inc., Basic Capital Management, First Allied Securities, Inc., Bradford Ashley Phillips, Douglas Andrew Wright, Samuel Jerome Erez, James Neil Firmey, Jr., Brett Stephen Briggs, Respondents Case Number: 01-05147 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Craig Jones:

N.A.S.D. AWARD NATIONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of the Artiitration Between 94-03162 Name of Resoondemfsl Russell Radom Amerinational Financial Services Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 10, 1994, Claimant Carl Deierling, who appeared Pro Se, alleged that Respondent Russell Radom of the Respondent firm Amerinational Financial Services Inc. misrqiresented

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Nfflig of Claimant Lorrauie Kopoulos, Meno Kopoulos, Athene Kopoulos, James Kopoulos, Melissa Kopoulos and Kimberly Pissios and 94-03157 Name of Respondent Kenneth Puckett REPRESENTATION OF PARTIES Lorraine Kopoulos, Meno Kopoulos, Athene Kopoulos, James Kopoulos, Melissa Kopoulos and Kimberly Pissios (collectively as "Claimants") were re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name pf Claimant Kenneth Grauer 94-03156 D. Blech & Co. .Inc. David Blech REPRESENTATION For Claunant, Kennedi Grauer ("Grauer"): Lloyd R. Schwed, Esq. and Dehner C. Gowing, III, Esq. of Hertz, Schram & Saretsky, P.C. West Pahn Beach, FL. For Respondents, D. Blech & Co., Inc. ("D. Blech") and David Blech ("Blech"): Thomas Campbell, Esq. of

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between ?^l«pe9fC|allWntf}) Jeffrey Parks 94-03155 N|ffn9 9(Resp9triym(y) D. Blech & Co David A. Blech REPRESENTATION For Claimant, Jeffrey Parks ("Parks"): Uoyed R. Schwed, Esq. and Dehner C. Gowing m, Esq. of Hertz, Schram & Saretsl^, P.C, West Pahn Beach. FL. For Respondents, D. Blech & Co.. Inc. ("DBCI") and David Blech ("Blech"): L. Van