N.A.S.D. AWARD RATIONAL ASSOCIATION OF 8BCURITIES DEALERS In the Hatter of the Arbitration Between Name of Claimants Suzanne and Fred Rowles 94-04930 Name of Respondents Janney Montgomery Scott Inc. Donald J. Berg REPRESENTATION For Claimants Suzanne and Fred Rowles ("Claimants"): Mark S. Pearlstein, Esq. and Gregory M. Palumbo, Esq., Palumbo & Associates, Media, Pennsylvania For Respondent Janney Montgomery Scott, Inc.. ("Janney*')

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Hans J. Bauer 94-04928 Name of Respondent AmeriNational Financial Services, Inc. and Dimitry Levitsky alias James Levit REPRESENTATION For Claunant, Jonathan O. Bauer, of the law firm of Anderson Kill Olick &. Oshinsky, Newark, NJ Respondents AmeriNational Financial Services, Inc. and Dunitiy Levitsky did not appear at the

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Scott Bryan and 94-04927 Name nf Respondent Texas Capital Securities Brady Houghton REPRESENTATION OF PARTIES Scott Bryan ("Claimant") was represented by Thomas F. Pierson, Esq., Denver, Colorado; Texas Capital Securities ("Respondent Texas").did iiot appear at the hearing. Brady Houghton ("Respondent Houghton") appeared

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Theodore Netzky and 94-04918 Name of Respondent Prudential Securities, Inc. Tammy J. Zelman nON OF PARTIES Theodore Netzky ("Claimant") was represented by Craig D. Tobin, Esq., Chicago, Illinois. Prudential Securities, Inc. ("Respondent Prudential") and Tammy J. Zelman ("Respondent Zelman") were represented by Donna Ross

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claunantf s^ Chase Manhattan Investment Services, Inc 94-04916 Name of Resix)ndent(s) Donald Jesberg CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 21,1994, • Claimant Chase Manhattan Investment Services, Inc. ("CMIS"), through their representative David Bamett of Chase Manhattan Inves

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dometrios Pavlos, Claiinant, -vs- Case Number: #94-04902 Wall Street Discount Coiporation, Respondent. REPRESENTATION Claunant, Demetrios Paulos ("Claunant"), appeared PTQ Se, Dover, New Jersey. For Respondent Wall Street Discount Corporation ("Respondent"), Alan Lederfeind, New York, New Yoikl CASE INFORMATION Statement of Claim was fi

NASD AWARD NATIONAL ASSOCIATION OF SECURIIIES DEALERS, INC. In the MaOer of the Arbitratioa Between Pc< gA.BanwB Mflrill Lvnck Plcm. FCHBCT & Smifli Inc «xlBmflgYS.M>lb 94-04899 Claimant Peter A. Barnett ("Barnett") subnutted this matter on his (^wiH>ehalf. Respondents Merriil Lynch, Pierce, Fenner & Smith, Inc. ('MerriU Lynch") and Bradley S. Mills ("Mills') were represented by Christopher D. Cavuoti, Esq. of Merriil Lynch. New York, New Yor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTIIES DEALERS In the Matter of the Aifoitradon Between Name n( C^.W^ma^n^'^ Louis and Bella Roos 94-04897 Name of Respondents Sutro & Co., Inc. William Schick CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 22; 1994, Claimants Louis and Bella Roos, who appeared Pro Se, alleged that Respondents Sutro & Co., Inc. ("Sutro") and William Schick ("S

Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-04334 Jae Kwang Kim Kyung Sook Kim Names of the Respondents Hearing Site: Atlanta, Georgia Raymond James Financial Services, Inc. Jimmy Young Hu REPRESENTATION OF PARTIES For Jae Kwang Kim and Kyung Sook Kim, hereinafter collectively referred to as "Claimants": Dan MacDougald III, Attorney at Law, Atlanta, Georgia. For Raymond James Financial Serv

94-04896 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In t:he Hatter of the Arbitration Between Thomas L. & Patricia J. Chambers Name of Respondents Dean witter Reynolds, Inc. & Don L. Harris REPRESENTATION For Claimant: Thomas L. & Patricia J. Chambers ("Chambers") were represented by Larry E. Meyer, Esq. of Pohl, Bennett and Mathews L.L.P. located in Houston, Texas, For Respondent: Dean Witter Reynolds, Inc. ("Dean Witter"