94-03742 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Milwaukee Metropolitan Credit Union Name of Respondent Merrill Lynch, Pierce. Fenner & Smith. Inc. REPRESENTATION For Claimam: Milwaukee Metropolitan Credit Union ("MMCU") was represented by Joseph E. Redding, Esq. of Glojek Limited, located in West Allis. Wisconsin. For Respondent: Merrill Lynch, Pierce, Fenner & Smith. Inc. was reprc.< ;e

N,A.S.D. AWARD NATTQNALASSOCL^TlONQFSECURrnESDFATPPS TNP In the matter of the Aibitration Between Name of Claimant Russell C. Knowles V, NASD Aibhnuion No. 94-03732 Name nf Rgspcmdents Mark Greenberg and First Montauk Securities and Yaegcr Securities REPRESENTATION For Claimant: Ftinic W. Nemecek, Nemecdc & Cole, SbennaaOaks, California For Respondem Maxk Gieeoberg: In piD per For Respondent I^rst Montauk Securities: Robert I. Rabino

N.A S.D. AW.\RD NATIONAL ASSOCIATION OF SECLIUTIES DEALERS In the Matter of the Arbitration Between Name of Claimants .S Gregor\' and Cindy B. Norville. JTWROS 94-03723 Name of Respondents Robert L. Sipple, Jr. CASE SL-MMARV In a claim filed with die National Association of Securities Dealers, Inc. on September 13. 1994. Claimants S. Gregory and Cindy B. Norville, JTWROS, who appeared Pro Se, alleged that Respondent Robert L. Sipple. Jr. ("S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nameofriaimant William P. McSherry 94-03722 Name nf Respondents Ronald D. Cano Westmark Securities Corp CASE SUMMARY In a claun filed with the National Association of Securities Dealers, Inc. on September 13. 1994, Claimam William P. McSherry alleged diat a represemative of Respondem Westmark Securities Corporation ("Westmark") and Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between 94-03721 Name of Claimant Lawrence F. Weslock Name nf Respondent and Third Party Claimant South Richmond Securities, Inc. Name of Third Party Respondent Angelo Lekanidies CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 13, 1994, Criaimant Lawrence F. Weslock, who appeared Pro Se. alleged

N.A.S.D. AWARD NATIONAL ASSOCU'nON OF SECURIIIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hermine Hanlin 9403717 Name of Respondent Charles Schwab & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 13, 1994, Claimant Hermine Hanlin ("Hanlin"). who appeared Pro Se, alleged that Respondent Charles Schwab and Company, Inc. ("Schwab"), made an error in her

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Evelyn Lewis 94-03716 Name of Resoon^t Dain Bosworth Incorporated CASE SUMMARY In a claim filed with Che National Association of Securities Dealers, Inc. on September 13,1994, Claimam Evelyn Lewis, who appeared Pro Se, alleged that Respondem Dain Bosworth, Inc. omitted materhi information on the sale of stock. Claimant forther alleged that she had

Stipulated Award NASfl In the-Matter of the Arbitration Between: ft nf the Claimant ra.se Number 01-04411 Jeffrey M. Jacobson Name nf the Respondents; Hearing Site- Philadelphia, PA Janney Montgomery Scott, Inc. John R. Baker Thomas F. Lagana Edward T. Moody REPRESENTATTON OF PARTIES Claimant, Jeffrey M. Jacobson ("Jacobson"), hereinafter referred to as "Claimant", was represented by Christopher B. Jones, Esq., Law Offices of Christopher

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dr. James Caserta and the James Caserta DDS Profit Sharing Plan, (Claimants) vs. Prudential Securities Inc. and Joseph Matthew, (Respondents) Case Number: 00-01379 Hearing Site: New York, New Yor« REPRESENTATION OF PARTIES Claimants, Dr. James Caserta and the James Caserta DDS Profit Sharing Plan, hereinafter collectively referred to as "Claimants": Jonathan J. Klein, Esq., a

NASD REGULATION. INC. FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Namggf Claimants Wilfred & Helene Graham 94-03711 Name nf Respondent Kidder, Peabody & Co., Inc. REPRESENTATION Claimants Wilfred and Helene Graham' ("Claimants") were represented by Frederick J. Kcitel, ni, Esq., of the Law Oflices of Frederick J. Keitel. Respondent Kidder Peabody & Co.. Inc (^'Respondent") was re