N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Aibitration Between Samuel E. and Maiy Ellen Del Popolo 94^3829 Name of Respondent Gregory Small KEfMSENTATOrf For Claunants appeared Earl K. Cantwell, Esq., of tiie hiw firm of Upsitz, Green, Fahringer, Roll, Salisbuiy A Cambria, LLP, located in Buffalo, NY. For Respondent appeared Charles M. O'Rcnirfce, Esq., located in Garden City, NY. CASK INFORMAnON The State

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Adele B. and Bernard Chudnoff 94-03825 Name of Respondents Jonathan R. Elyachar Baibara L. Freilich Sanford Weill CASE SUMMARY In a chum filed with the National Association of Securities Dealers, Inc. on September 19,1994, Claimants Adele B. and Bernard Chudnoff, who ai^ieared Pro Se, alleged that Respondents Jonatiian R. Elyacher ("Elyache

M A S r> AWAPn NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Byron and Sharon O'Neal Name of Resix)ndents Merrill Lynch, Pierce Feimer & Smith Inc Vernon Alexander 94-03817 REPRESENTATION The Claimants, Byron and Sharon O'Neal, were represented by Michael G. O'Neill, Esq., of O'Neill & Dyer, located ui Dallas, Texas. The Respondent, Merrill Lynch, Pierce Fenner & Smith Inc, was r^re

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Kemper Securities, Incorporated and Case Number 94-03 811 Name of Respondent- Steven G. Finn REPRESENTATION OF PARTIES Clainiant, Kemper Securities, Inc. was represented by W. Charles Thomson, Esq. of Gallagher & Kennedy located in Phoenix, AZ. Respondent, Steven G. Finn was represented by George A. Sutera, Esq. of Sutera & S

N.A.S.D. AWARD NATIC^AL ASSOCIATION OF SECURITIES DEALERS In t:he Matter of the Arbitration Between Ij^me of Claimant^ Joe S. Minor 94-03807 Nam«> at Respondents Bear Steams & Company Gregory Lane Willicunson Lexington Investment Company, Inc. Claimant Joe S. Minor ("Claimant") was represented at the hearing by Henry E. Kinser, Esq. of wyatt Tarrant & Combs of Lexington, Kentucky. Respondents Bear Stearns & Company ("Bear Ste

N.A.S.D. AWARD NATIONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of Claunantf s> Aubry Bissett 94-03791 Name of Respondents Smith Barney Shearson, Inc. William Wayne Schroeder RRFBESENTATIQN \ For Chumant: Aubiy Bissett ("Bissett"): John Ndson, Esq. of Slaymaker and Nelson, P.A.^ Invrawss, Florida. For Respondent: Smith Barney Shearson, Inc. ("Smith Barney") and Wayne Schroeder ("Schnieder'): Se

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edith Cooper 94-03790 Name of Respondents M. Rimson & Co., Inc. Daniel Dietrich REPRESENTA'nON For Claimant Edith Cooper ("Claimant") appeared Kevin P. Conway, Esq. of the law firm of Conway & Conway located in New York, New York. For Respondent M. Rimson & Co., Inc. ("M. Runson") appeared Leon B. Lipkin, Esq. of the la

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Charles G. Roumeliotis and Athena Roumeliotis, Claimants, V. No. 94-03783 Stratton Oakmont, Inc., Respondent. REPRESENTATION OF PARTIES For Claunant: Charles G. Roumeliotis and Athena Roumeliotis ("Roumeliotis") were represented by Alexander T. Moore, Esq., of Edward T. Joyce & Associates, P.C. located in Chicago, Illinois. For Responden

N.A.S.D. MODIFIED AWARD NATIONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of the Arbitration Between Na^ft nf ri^in^yt^^ AlanDeRose 94-03782 Name of Respondent Cuyler & Associates, Inc. CASE SllMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 15,1994, Claimant Alan DeRose, who appeared Pro Se, alleged that Respondent Cuyler & Associates, Inc., wrongfiilly refused to purchase a limited partn

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Laura E. Derby 1990 Trust, (Claimant) vs. Advest, Inc. and Rosemarie Eakin, (Respondents) Case Number: 01-04451 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Laura E. Derby 1990 Trust, hereinafter referred to as "Claimant": Marshall J. Derby, Trustee, Laura E. Derby 1990 Trust, Lexington, MA. Respondents, Advest, Inc. ("Advest") and Rosemarie Eakin ("Eakin"