AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Elizabeth L. Africano and 01-04271 Phoenix, Arizona Name of Respondents Edward D. Jones & Co. Christopher Scott Smith REPRESENTATION OF PARTIES Elizabeth L. Africano ("Claimant") was represented by Chris Raboin, Esq., Phoenix, Arizona. Edward D, Jones & Co. ("Respondent Edward Jones") and Christopher Scott Smith ("Respondent Smith") were represent

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbit u on Between Anjana Kamdar and Vikram JtCamdar, Claimants, V. Bear Steams &. Co. and Avi Rojany, NASD No. 94-5071 Respondents. Rtpresenta:tion For Claimants: Michael Bertz, Esq., Los Angeles, Califomia For Respondents: Michael Gless, Esq. of Keesal, Young & Logan, Long Beach, Califoinia Case Information Statement of Claim filed: December 2, 1994 Second Am

NASD Arbitration No. 94-05067 N.A.iS.p. AWARP NATIONAL ASSOCIATION OF SECURITIES DSALffP.q. TNC. In the matter of the Arbitration Between Namt* nf naitnant(.q) James Edward Hermis Name of Respondent(s) Invest Financial Corporation REPRESENTATTON For Claimant: John H. Mitchell, Esq., Costa Mesa, California For Respondent: Eugene B. Harper, Esq., Invest Financial Corporation, Tampa, Florida CASS IWFORMATI< ?W Statement of Claim file

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between N^m^ nf {^l;^ipi^^|^^(|^) Glenfed Brokerage Services 94-05065 Name of Respondentf s) PaineWebber, Inc. Christopher Lee Goslin For Claiinant, Glenfed Brokerage Services ("Glenfed"): James O. Muiphy, Jr., Esq. of Byrd and Murphy, Ft. Lauderdale, Florida. For Respondents, PaineWebber, Inc. ("PW") and Christopher Lee GosUn ("Goslin"): Cuitis Ca

N A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cjaiman^ Roben Bons 94-05062 Name of Respondent Russell J. Terlecki CASESUMfVfARY In a claim filed with the National Association of Securities Dealers, Inc. on December 2, 1994, Claimant, Robert Bons ("Bons"), who appeared Pro Se, alleged that Respondent Russell J. Teriecki ("Terlecki"), solicited the purchase by Claimant of 1,000 share

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between N^me of Cl:^jiy^afits Frank Parietti 94-05061 Name of Restxmdents Lew Liebetbaum & Co., Inc. Edward Baiter CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 2, 1994, Claimant Frank Parietti, who appeared Pro Se, alleged that he purchased 1000 shares of TRC Co. ("TRC") stock, 500 shaies of Ho

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In die Matter of die Arbitration Between Name of Claimantfs) William E. and Lucille F. Stephens 94-05060 PaineWebber, Inc. Laurence G. Epstein CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 2, 1994 Claimants William E. and Lucille F. Stephens, who appeared Pro Se, alleged diat Respoodent Laurence G. Epstein of die Respondent firm Pa

N.A.S.D. DECISION NATIONAL ASSOCIATION OF SECUMTIES DEALERS. INC. In. the matter of the Arbitration Between NMncofClaimamCi) Bradley C. Boswell v. Fidelity Investments NASD Arbitnuion No. 94^5057 For Claimant; For Respondent: RFPRESENTATION Warren Paul Beck, Esq., San Diego, Califomia Cindy M. Gipiiani, Esq., Gray Cary Ware 8c Freideiiricfa, San Diego, Califomia rA.SF.TTyfFnRMATim^ Statemeat of Claim filed: Decemb

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Brian T. Maloney 94-05053 Smith Barney, Harris Upham & Co., Inc. Claimant Brian T. Maloney ("claimant") appeared pro se. For Respondent Smith Barney, Harris Upham & Co., Inc. ("respondent") appeared Rick Apicella, Esq., Senior Vice President and Associate General Counsel of Smith Barney, Inc. CASE INFORMATION The Statement of C

N.A.S.D. .AWARD \.\TIONAL ASSOCL\TION OF SECLTUTIES DEALERS In the .Matter of the Arbitration Between Name of Claimants Erwtn and Maria Levin 94-05049 Name of Respondents D. Blech & Company Inc. Michael J. Eismann In a claim riled widi ±e Nationd Association of Securities Deders, Inc. on December 1, 1994, Claimants Erwin and Maria Levin ("Claimants"), who appeared Pro Se. dleged that Respondents D. Blech & Company, inc. ("DBC"), and Michael