N.A.S.D. AWARD NATIONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of die ArbiU'ation Between Name of Claiinant Charles N. Rock 94-04603 Name ot Respondent D.H. Blair & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers,. Inc. on November 2, 1994 Claunant Charles N. Rock ("Claimant"), who appeared Pro Se, alleged that Respondent D.H. Blair & Co., Ihc. ("Respondent"), dirough his broker David Holt

NATIONAL ASSOCUTION OF SECURITIES DEALERS AWARD In the Matter of the Arbitiation Between Eric M. Bogin, Claimant, Charles Schwab & Co., Nancy Hubly and Holly Bange, NASD No. Respondents. •Representation For Claimant: Eric Begin, pro se For Respondents: Wilfiam Drew, Esq. of Ball, Janik & Novack^ Portland, Oregon Case Information Statement of Claim filed: October 31,1994 Amended Statement of Claun filed: December 5,1994 Ckuman

N.A.S.D. AWARD NATTONAL A.S.SOrTATTON OF SF.rTTRTTTF,«; DFAT.FRS. INC. In the matter of the Arbitration Between Name Of Claimants Aileene B. West Paul H. West NASD Aibitiation No.94-04599 NamsofReimondmts Kidder, Peabody & Co., Inc. W.Bkdre Miller RRPRE.SRNTA'nQN For Claimants: Thomas J. Raherty, Esq., Hillsboro, Oregon For Respondents: William H. Phelps, Esq., Kidder, Peabody & Co., Los Angeles, California CASE INFORMATION S

NASD Arbitration No. 94-04593 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUPJTIES DEALERS. INC: In die matter of the Arbitration Between Name of Claimam J. Armando Dubon, Attorney-in-fact for J. Maria Dubon Name of Respondem Merrill, Lynch, Pierce, Fenner & Smith. Inc. REPRESENTATION For Claimam: J. Annando Dubon, San Diego, Califomia For Respondent: Stephen Young, Esq., Keesal, Young & Logan, Long Beach, Califomia. CASE INFORMATION St

NASD AWARD NATIONAL ASSOQATION OF SECURITIES DEALERS, INC. In the Matter of the Aibitration Between Name of Claimant Municipal Capital Maricets Group, Inc. vs. NASD Case Number: 94-04591 Name of Respondents Gardnyr-Michael Capital, Inc., Greenwich Partners, Inc. REPRESENTA'nON OF PARTIES Clainijuit, Municipal Capital Maricets Group, Inc. was represented by C. Pete Bennett, Jr., Esq. of Fiedler & Akm, P.C. located in DaUas, Texas. Respond

N.A.S.D. AWARD NATIONAL ASSOCU'nON OF SECURITIES DEALERS In the Matter of die Aibitration Between Names of Clahnants Mark and Baibara Bmno 94-04589 Names of Respondents Investors Choice Securities, Inc. Berkley C. Badger Donald R. Kroeger REPRESENTATION For Claimants Maik and Baibara Bmno (the "Bronos"): Joel A. Goodman, Esq., of Goodman & Nekvasil, Safety Haibor, Rorida. For Respondents Investors Chok:e Securities, Inc., ("Investors

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Walnut Street Securities. Inc.. Claimant. No. 94-04586 Samuel L. Williams. Respondent. REPRESENTATION OF PARTIES Claimant Walnut Street Securities. Inc. ("Claimant") was represented by Brandford D. Kaufman. Esq.. of Steel. Hector & Davis. Respondent Sammuel L. Williams ("Respondent") failed to appear at the hearing. CASE INFORMATION Claimant's Statement of Claim was filed on or ab

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William Morris and Betsy Morris, (Claimants) vs. A.G. Edwards & Sons, Inc. and Randall Ferraro, (Respondents) Case Number: 01-04350 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, William Morris ("W. Morris") and Betsy Morris ("B. Morris"), hereinafter collectively referred to as "Claimants": John J. Blanchard, Esq., a sole practitioner, Manasquan, NJ.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between NamcflfClaniMt Robert Hecht-Nidsen 94-04585 Wamcflfltepflmtem Stratton Oakmont, Inc. CASESTIMMAHY In a daim filed with the National Associatu>n of Securities Dealers, Inc. on November 1, 1994, Qaunant, Robert Hecht-Kidsen ("Hecht-Nidsen"), who appeared Pro Se. allied that Reqiondient Strarton Oakmont, Inc. ("Stratton Oakmom") and thdr employee

N.A.S.D AWARD NATIONAL ASSOCLVTION OF SECURITIES DEALERS In die Matter of the Arbitration Between Name of Claimants Joseph Paul Smith & Lorraine Durnane 944)4583 Nmi?9fRwp9ntim Corporate Securities Group.Inc. In a claim filed with the National Association of Securities Dealen, hic.. on November 1, 1994, Qaunants, Jos^h Paul Smidi and Lorraine Duinane, who aiqieared Pro Se, allied diat Respondent, Corporate Securities Group, Inc., purchased secur