N.A.S.D. AWARD NATIONAL ASSOCIA'nON OF SECURniES DEALERS In the Matter of te Arbitration Between Name of Claimant Olympia Levinson AWard No. vs. 94-04635 Name of Respondent .-\dvest. Inc. REPRESENTATION For Claimant, Olympia Levinson ("Claimant"), Susan L. Donegan, Esq. of Berman, Devderio & Pease located in Boston, Massachusetts. For Respondent, Advest Group, Inc. ("Respondent"), James L. Ackerman, Esq. of Day, Berry & Howard locate

N.A.S.D. AWARD NATIONAL ASSOCIA'nON OF SECURITIES DEALERS In te Matter of te Arbitration Between Name of Claimant(s1 William T. & Nanpo Chiang NffP¥9fRWP9°< lm(S) Brian C. Kauffman L.C. Wegard &. Cc.Inc. 94-04630 Clalniants'appeared Pro Se. •Respondents did not appear. BFPttRSTCNTATION CASE INFORMATION Statement of Claim filed: November 3, 1994. Claimants' Submission Agreement signed on: October 2?. 1994. Statement of Answer f

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kevin and Sue-Pel Wang JTWROS 94-04627 Namg9fRwp9triy?tt Global Strategies Group, Inc. Lehman Brothers, Inc. Eric A. Qemons In a claim filed with the Nattonal Association of Securities Dealers, Inc. on November 3. 1994^ Claimants, Kevin and Sue-Pie Wang JTWROS, who appeared Pro Se, allied that Respondeots. Global Strategies Group, Inc. ("GSGI")

N.A.S.D. AWARD NA'nONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs') William T. Vyvyan 94-04626 Name of Respondent(s) Olde Discount Corporation Steven R. Maetil CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on^ovemlwr 3, 1994, Claimant William T. Vyvyan, who appeared Pro Se, alleged that Respondent Steven R: Maehl ("Maehl'*), employed by Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DFALFRS Case Management. Inc.. Claimant. V. 94-04621 Dean Witter Reynolds. Inc.. and Gary Anzaroot, Respondents. RKPRESKNTATmN OF PARTIES Claimant was represented by Michael Richards. Esq. of Heiskell. Doneison. Bearman. Adams. Mempiiis. I'eimessee. Respondents were represented by Edward Larkin. Esq. of Dean Witter Reynolds. Inc.. New York. New York. " CASE INFORMATION Claimant's

NASD Arbitration No. 94-04620 N.A.S.D. AWARD NATIONAL ASSOCTATTON OF SECURITTRS DEALERS. TNC In the matter of the Arbitration Between NamgQfClaimaittfs) Horace N. Freedman Name of Respondentfs) Smith Bamey Shearson, Inc. REPRESENTATION For Claunant: Horace N. Freedman, Pro Se Culver City. Califomia For Respondent: Alejandro Schwed, Esq. Smith Bamey Shearson, Inc. New York. New York CASE INFORMATION Statement of Claun file

NASD AWABD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Garland M. and Edythe Conner 94-04615 Names of Respondents CuUum & Sandow Securities, Inc., First Southwest Co., Richard Wells, Richard Sandow, and Steven Burks MTOKHfTATiQiy Claimants, Garland M. and Edythe Conner were rq)iesented by Carl A. Generes, Esq. of DaUas, Texas. Respondents, Cullum & Sandow Securities, Inc., Richard Sandow and

AWARD NASD Regulation, Inc. OfBce of Dispute Resolution In the Matter of the Arbitration Between PaineWebber. Inc. Claimant No. 94-04610 Daniel F. Holka Respondent REPRESENTATION OF PARTIES Clainiant PaineWebber, Inc. ("Claimant" or "PaineWebber") was represented by Aime Dempsey, Esq. of Kelly Drye & Warren located in New York, New York. Respondent Daniel F. Holka ("Respondent" or "Holka") appeared pro se. CASE INFORMATION The Statem

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Kovak, (Claimant) vs. ING Barings, LLC and Michael DeMarse, (Respondents) Case Number: 01-04351 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Michael Kovak, hereinafter referred to as "Claimant": John J. Blanchard, Esq., a sole practitioner, Montvale, NJ. Respondents, ING Barings, LLC ("ING") and Michael DeMarse ("DeMarse"), hereinafter collectivel

NASD REGULATION. INC. AWARD In the Matter of the Arbitration Between Names of Claimants Philip M. Berman 94-04605 Names of Respondents Dunhill Investments, Inc. Meridian, DunhiU & Co., Inc. David B. Lyons Joseph G. Chiulli Diizos Investments, Inc. Titos & Donnelly, Inc. REPRESENTATION For chihnant PhUip M. Berman ("claimant") appeared Brum Amery, Esq. of the law offices Bressler, Amery & Ross located in Morristown, New Jersey