N.A.S.D. AWARD NATIONAL ASSOCIATIO.N' OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Malcolm L. Coffee 94-04695 Name of Respondents Michael Orlino Ronald Cropper Hanover Sterling and Company, LTD. C.\SE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 8, 1994, Claimunt Malcom L. Coffee, who appeared Pro Se, alleged that Respondents Michael Orlino, Ronald C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In die Matter of die Arbitration Between Name of Claimam Bruce Kersey 9404691 Name of Respondents Blum Ellis &. Loewi, Inc. Kemper Securities, Inc. CASB SUMMARY In a claim filed widi tiie National Association of Securities Dealers, Inc. on Noveoiber 8,1994, Qaiinant, Bruce Kersey, who appeared Pro Se, alleged tiiat Respondents, Blum Ellis & Loewi, Inc. ("BEL'O and Kemper Securitie

N.A.S.D. AWARD NATZQiaL ASSOCIATION OP SSCDKITIBS DEALERS In the Matter of tbe Arbitration Between Name of Claimant Ken^er Securities, Inc. 94-04688 Edward H. Nelson In a claim filed with the National Association of Securities Dealers, Inc. on November 7, 1994, Claimemt Kenper Securi1:ies. Inc., through its representative, Dieme C. Fischer, Esg.> of Siegan, Barbakoff, Gomberg & Kane, Ltd., Chicago, IL,.alleged that Respondent Edward H. Nelso

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of Claimant Mary Jean Dry 94-04687 Name of Respondent La Jolla Securities, Inc. In a claim filed with the National Association of Securities Dealers, Inc. on November 7, 1994, Claimant Mary Jean Dry, who appeared Pro Sie, alleged that Respondent La Jolla Securiti«, Inc. through its employee JefiSey Schulman ("Schulhum"), purposdy delayed the t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anthony Vitale, Fred Klein, Stephanie Phillips, Steve Harris, Darren Bush and John Thomas, (Claimants) v. FAB Securities of America Inc., FAB Global, Inc., FAB Corporate Funding, Inc., FAB Futures, Inc., Wavecount, Inc., Wavecount Futures Inc., Dupont Securities Group, Inc., Randy Strausburg, Gerry Heilpem and David Parsons, (Respondents) Case Number: 01-04360 Hearing Site: New York, Ne

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of Claimam Clearing Services of America, Inc. 94-04686 Name of Respondent Jose S. Rubio CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 6,..1994, Claimant Clearii^ Services of America, Inc., through its representative Joseph P. Keaveny, St. Lows, Missouri, stated that Respondent Jose S. R

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stephen Teplitz 94-04685 Roger T. Spann TASF .STTMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 7, 1994, Claimant Stephen Tqilitz ("Teplitb") who appeared Pro Se, alleged that on Febniafy 22,1994 his broker. Respondent Roger Spann ("Spann"), an employee of Hanover Sterlmg, effected a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Harold Rostow, Trustee of the Harold Rostow Living Trust 94-04684 Name of Respondent Kennedy. Cabot & Company CASE SUMMARY In a claim tiled witii tiie National Association of Securities Dealers. Inc. on November 7,1994, Claimant Harold Rostow, Trustee of the Harold Rostow Living Trust, who appeared Pro Se, alleged that Resp

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claiinant Dion M. Cairns Personal Trust Dion M. Cairns, Trustee 94^)4683 Thomas James Associates, Inc. n/k/a H.J. Meyers & Co., Inc. CASE SUMMARY • In a claim filed with the National Associatioa of Securities Dealers', Inc. on Nov«inbar 7,1994, Qaunant Dion M. Cairns Personal Trust, DionM. Caiitis,. Trustee, who iqppeared Pro Se, allied

N.A.S.D. AWARD NATZOHAL ASSOCIATION OF SECDRITI8S DEALERS In the Matter of the Arbitration Between Name of Claimants Helen E. Sanders Patricia S. Hager 94-04682 Name of Respondents Richard C. Warwick Brian Buckley CASK anMMMtT In a claim filed with the National Association of Securities Dealers, Inc. on November 7, 1994, Claimants Helen S. Sandeiirs and Patricia S. Eager, who ai^eared Pro Se, alleged that Respbndeiata Richard C.