N.A.S.D. AWARD NA'nONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of the Aibitration Baween Name of Claimant Wei Wen Zhao 94-04526 NameofRespondfaits Yansbi Rock Jin Corporate Securities Gnmp, Inc. ffASfiffVMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 26, 1994, Claimant Wei Wen Zhao ("Claimant"), who appeared Pro Se, aUeged that Respondents Corporate Securities Group, Inc. ("CSG"), and

N.ASD. AWARD NATIONAL ASSOCLiTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Shirley A. and Stanley A. Malvaney 94-04524 Name qf Respondents Myron J. Rothstein Investment Centers of America, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 27, 1994, Claimants Shiriey A. Malvaney and Stanley A. Malvaney ("Claimants"), who appeared Pro Se, stated t

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Kemper Securities, Inc. 94-04523 Name of Respondent Karen Amorati REPRESENTATION Claimant Kemper Securities, Inc. ("Claimant") was represented by Anthony J. Hanman, Esq., Hennan Cahn & Schneider, Cleveland, OH. Respondent Karen Amorati ("Respondent") was represented by Charles P. Royer, Esq., McCarth

NASD AWARD NATIONAL ASSOQATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John T. Kelly, Claimant, 94-4521 Dennis L. Driggers and Westonka Investments, Respondents, SENTATION OF PARTIES Claimant John T. Kelly ("Kelly") was represented by Wendy A. Synder, Esq., of Kelly & Berens, located in Minneapolis, MN. Respondent Dennis L. Driggers ("Driggers")was r^resented by Benjamin S. Houge, Esq. attorney located in

V.A.a.D. XKWO imviOWkz. %MueaT\m.em ov aaoonitxBB tauaaOM Jaan R. Rniikcumky ftnd Carol Ann H«9arty 94-04620 Maw fl* B^tPflntfnntM OppWth*lB«r 6 Co., Tna, Ruasall Rablce For clikiiMinta a*an U, Saakowsky and careX Ann iiegart-y ("ciainantB*'} a]^*«r*d L«kvr»nea V. Rugglwre, Seq./ New York City, New Yorx. For RsBpondant* Opp*nh«l«»r 6 Oo., Xno. and Russall Rablto ("r«*pondanfca") appaavad Lloyd S. clavaaan* Baq., Hew York City, Now Yo

N.A.S.D. AWARD NATIONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of the Arbitration Between Albert B. Henchar Roseanna C. Henchar 94-04509 Janney Montgomery Scott Inc. FSC Securities Corp Martin J. Mancuso For claimants Albert B. Henchar and Roseanna C. Henchar ("claimants") appeared Jan C. Swensen, Esq. of the law firm Swensen Perer & Johnson located in Pittsburgh, Pennsylvania. For respondent Janney Montgomeiy Scott Inc., ("Janney")

N.A.S.D. AWARD NATIONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of the Aibitration Between Robert J. O'Brien vs. Award # 94-04501 Nam^ nf indents Rickel & Associates, Inc. Kenneth David Rickel John Charles Sabo Arnold Ira Cohen Coleman Andrew Carven Steven Nadler David Phillip Netkin Deborah Marie (Krill) Sachs Edward Charles McWilliams Joseph Robert Fair Michael Jeffrey Belsky For Claimant, Ro

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Warns tf< ;iiimftBK Catherine Bagnasco, Tmstee, U.T.D Tmst Dated October 11, 1985, 94-04498 Name of Respondent Olde Discount Corporation REPRESENTATION For Claimam: Catherine Bagnasco, Trustee, U.T.D. Tmst Dated October 11,1985 ("Bagnasco") was represented by Constantine Stevens of Troy, Michigan For Respondem: Olde Discoum Coiporation ("OLD

N.A.S.D. AWARD NA-nONAL ASSOCIATION OF SECURITIES DEALERS Thomas W. Ottman, Claiinant, No. 94-04486 Wayne Fadden and Kemper Securities, Inc., Respondent. REPRESENTA'nON OF PARTIES The Claimant, Thomas W. Ottman ("Claimant"), was represented by Robert J. Tansey and Mark D. Wisser of Robins, Kaplan, Miller & Cerisi located in Minneapolis, MN. The Respondents, Wayne Fadden and Kemper Securities, Inc. ("Respondents") were Tepieseated by Dian

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-04340 Robbi Mills Name of the Respondents Hearing Site: St. Louis, Missouri Cutter & Company, Inc. and Dennis F. Drescher REPRESENTATION OF PARTIES Claimant Robbi Mills ("Mills") was represented by Stuart R. Berkowitz, Esq. of Platke & Berkowitz, LLP, located in St. Louis, Missouri. Respondents Cutter & Company, Inc. ("Cutter")