AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Allen and Shelly Glushakow and 94-05136 Name of Respondent Emanuel & Company Sheldon Kraft Eric Emanuel Axel Mehrle REPRESENTATION OF PARTIES Allen and Shelly Glushakow ("Claimant") was represented by Brian A. Cariis, Esq. of Starks & Starks, located in Princeton, New Jersey. Emanuel & Company ("Respondent Emanuel & Co.") did not appear. She

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Legg .Mason Wood Walker Incorporated 94-05257 Name of Re.spondent Eric C. SutlifF ^SE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 14, 1994, Claimant, Legg Mason Wood Walker Incorporated ("Legg Mason"), through its in-house counsel .Andrew J. Bowden, Esq., of Baltimore, Maryland, alleged that Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Steven H. Jasser MODIFIED AWARD 94-05256 Name of Restwndent James M. Copperthite CASE SUMMARY In a claim filed with the National Association of Securities D-ealers, Inc. on Dacember 13, 1994, Claimant Steven H. Jasser. who appeared Pro Se, alleged that Respondent James M. Copperthite. while employed by La Jolla Capital Corp. ch

N.A.S.D. AWARD .NATIONAL ASSOCIATION OF SECLTUTIES DEALERS In the Matter of the .Arbitration Between Na.me ot" Claimants Jack and Eleanor Schwartz 94-05255 .Name of Respondents Dean Witter Reynolds Inc. Dean Witter Intercapital, Inc. CASE SUTVIMARY In a claim filed with the Nadonal Association of Securities Dealers, Inc. on December 14, 1994, Claimants Jack and Eleanor Schwar'.z ("Claimants"), who appeared Pro Se, alleged that Respondents

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration 7 etween Charles Shackelford Claimant, NASD No. 94-5253 Joel Preston, Rick Shenemen, Schneider Securities and Meridian Associates Respondents. Representation For Claimants: Paul Schifino and Jolie Busch of Califomia Investmem Recovery Association, Los Angeles, Califomia For Respondent Joel Preston: Pro se. Phoenix, Arizona For Respondent Rick Shenem

NASD Arbitration No. 94-05250 and 95-00441 Consolidated Cases N.A.S.P. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant/Counter-Respondent Merrill Lynch Pierce Fenner & Smith, Inc. Name of Rcspondgnts/Cwnter-Claimants Rochelle Atlas Maize and Justin Steers Name of Third-Pany Respondem Jeffrey W. Durkee BJEESESi For Ciaunant/Ccunter-Respondent Merrill Lynch Pierce Fen

NASDR AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. In the Matter of the Arbitration Between Shemirani J. Shakeri Claimant NASDR Arbitration v. No. 94-05242 Merrill Lynch Pierce Fenner & Smith. Inc. Respondent REPRESENTATION OF PARTIES .Shemirani J. Shakeri ("Claimant") was represented by Daniel Stenson. Esq.. Law Offices of John E. Hill. San Francisco. Califomia. Merrill Lynch Pierce Fenner & Smith, Inc. ("Respcndeot") w

N.A.S.D. AWARD NATIO.NAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Leonard Massello 94-05241 Name of Resoondent Gilford Securities Inc. For Claimant, Leonard Massello ("Claimant"), appeared Christopher C. Fountain, Esq. located in Greenwich, Connecticut. For Respondent, Gilford Securities Inc. ("Respondent"), appeared Edward G. Werner, Esq. of Kalmus & Martusccllo located in New York, New Yor

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimant Charles F. Salter and 94-05238 Name of Respondent Hanover Sterling & Company, Ltd. Charles F. Salter ("Claimant") was represented by James W. Springer, Esq., Kavan^igh, Scully, Sudow, White & Frederick, P.C, Peoria, Illinois and appeared at the hearing pro se. Hanover Sterling & Company, Ltd, ("Respondent") did not appear at the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS [n the Matter of the Arbitratioa Between Name of Claimants Cecil and Patricia J. Gates 94-05236 Nancy Wilson DCC Securities Corp. Melissa C. Simms John S. White Christopher F. White Titan Value Equities Group, [nc. CASE SUMMARY In a claim filed with tlie National Association of Securities Dealers. Inc. on December 13, 1994, Claimants Cecil and Patricia J. Gates ("Claimants