N.A.S.D. AWARD NATIONAL ASSOCLVTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Irvin Hood, Jr. Award No. vs. 94-04851 Name of Respondent M. A. Schapiro & Co., Inc. REPRESENTATION For Claimant Irvin Hood, Jr. ("Hood") appeared Leonard B. Pack, Esq., of Hirsch Weuiig located in New York City. For Respondent M.A. Schapiro & Co., Inc., ("Schapiro" or "the Firm") appeared Steven N. Shulman,. Esq., of F

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURmES DEALERS In the Matter of the Arbitration Between Name of Claimant Zion Sutton 94-04845 Thomas James Associates, Inc. Brad Silver REPRESENTATION Claimant Zion Sutton ("Claimant") appeared at the hearing Pro Se. For Respondents Thomas James Associates, Inc. ("TJA") and Brad Silver ("Silver"), (collectively referred to as "Respondents") appeared Paul J. Debnore, Esq., of the law Arm of Edwards

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hany Bonn/Bonn Revocable Living Tmst 94-04841 Name of Resoondei^t Fidelity Investments In a claim filed with the National Association of Securities Dealers, Inc. on November 16,1994, Claimant Harry Bonn/Bonn Revocidsle Living Tmst, who appeared Pro Se, alleged that Respondent Fidelity Investments breached its fiduciary duty, was neg

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alan Stone 94-04839 Name of Respondent Investors Associates, Inc. CASE SUMMARY In a claim fded with the National Association of Securities Dealers, Inc. on December 21, 1994, Claimant Alan Stone, who appeared Pro Se, alleged that Respondent Investors Associates, Inc., through its account representative, Mr. Kust, sold investment

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Gaimants Robert Mussman and No. 94-04825 Name of Respondents Stratton Oakmont, Inc., Bear Stems & Company, Joel M. Grant, Jordan R. Belfort, Kenneth S. Greene, and Daniel M. Porush REf RESEWTATTOW Qf FARTTT;?^ Claimam, Robert Mussman, ("Qaimant") was represented by Ralph Gant, Esq. located in New York, New York. Respondent

N.A.S.D. AWARD NATIONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClahnantrs) Ned A. Godshall 94-04821 Name of Resoondentfs) Dean Witter Reynolds Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 15,1994, Claunant Ned A. Godshall, who appeared Pro Se, alleged that Respondent Deait Witter Reyholds, Inc. failed to execute a transaction foir hiin and d

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Marilyn and Stanley L. Bloom 94-04820 Name of Respondents Gruntal & Co., Inc. Jack Delhagen REPRESEMTATION Claimants Marilyn and Stanley L. Bloom ("Claimants") were represented at the hearing Pro Se. Respondents Gruntal & Co., Inc. ("Gruntal") and Jack Delhagen ("Delhagen") were represented at the hearing by Harry D. F

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Evelyn Joy Gladstone and Name of Respondents Monterey Bay Securities, Inc. Berman & Stickel Kenneth Doolittle James Jackson Steven Block Mark Steven Stickel Susette Stickel A.B. Berman Mick West Linda Olsen Rose Securities Corp. /Man S. Bird Jules Silver John Von Rusten Deborah Cravets

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Robert P. Schneider, individually; and Yudi Benneu. individually, and as trustee. .Mirror Image. Inc. Retirement Plan and Tmst dated 4/01/81 V. Arbitration No. 94-04817 Name of Respondent.s Rothschild Global Investments. Inc.. Guilhelm .M. Castagne. William C. Gerhauser. and James Leavy REPRESENTATION For Claim

N.A.S.D. AWARD NATIONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of tj'^a^inu^nl: Mildred F. Rhodes 94-04814 Names of yesoonderts Oppenheimer & Co., Inc. Robert Hunt For Claimant, Mildred F. Rhodes ("Rhodes"): Robert Wayne Pearce, Esq. of Lemer & Pearce, P.A., Fort Lauderdale, Florida. For Respondents, Oppenheimer & Co., Inc. ("Oppenheimer") and Robert Hunt ("Hudt"): Bany Hunter, Esq. of Stuzin& Can