NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the rt.rbitraiion Between Edward L. Kabler Claimants. NASD No. 94-5015 Roben Scott Seciuities. Inc. Peggy Boland, Respondents. Representation For Claimants: Robert Uhl, Esq. of Aidikoff & Kesluk, Los Angeles, Cdifomia For Respondent Robert Scon Securities: Nicholas Ellis of Robert Scott Securiues. Irvine, Cdifomia For Respondent Peggy Boland: Pro Se. Anaheim, Cdifomia

NASD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jon R. & Kimberly W. Friedman 94-05582 Hame, of Respondents Kermedy, Cabot & Company Ken Mount CASE SUMMARY In a cldm Hied with the National .Association of Securities Deders, Inc. on December 29, 1994, Claimants Jon R. Friedman and Kimberly W. Friedman, who appeared Pro Se, stated that on January 25, 1994, they purchased fro

Stipulated Award NASD Dispute Resolution ^ — ^^_ — COPY In the Matter of the Arbitration Between: Salvatore R Voto, Claimant v. Philip A. Parker, David E. Magelssen, James D. Klein, and Paine Webber, Inc., Respondents Case Number: 01-04259 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: James Jay Seltzer, Esq. Law Offices of James Jay Seltzer ,E

N.A.S.D. AWARD NATIOKAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant R. K. Price 94-05560 Name of Respondent Coughlin & Co, Inc REPRESEMTATION Claimant R.K. Price ("Claimant"): David D. Hudgins, Esq. of the law firm of Hudgins carter & Coleman, Alexandria, Virginia Respondent Coughlin & Co., Inc. ("Respondent"): Otto K. Hilbert, II, Esq. of the law firm of Leboeuf, Lamb Greene S HcRae, Denve

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Betweci:^ Robert Galoob and Alice Gdoob. Cldmants, NASD No. 94-5550 Charles Schwab & Co. Respondent. Representation For Cldmants: Irving Pfeffer, Esq., San Francisco, Cdifomia For Respondent: Richard Dangerfied, Esq. and Scott Hunt of Charies Schwab, San Francisco, Cdifomia Case Information Statement of Cldm filed: November 15, 1994 Claimant's Submi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of Claimant Karen Gelet 94-05507 Name of Resiwndent^ PCM Securities Corp. Mark W. Trykowski REPRESENTATION For Claimant, Karen Gelet ("Gelet"): Russell L. Forkey, Esq. of Doumar, Curtis, Cross, Laystrom & Perloff, Fort Lauderdale, FL. For Respondents, PCM Securities Ltd. ("PCM") and Marie Trykowiski ("Trykowski"): Andrew Fulton, Es

NASD. AWARD NATIONAL ASSOCLVTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nams-of Claimant David Sydney for The Simon Mendelson Revocable Trust 94-05496 Nam^ of Respondent People's Securities, Inc. CMEJUMMMY In a cldm filed with the National Association of Securities Deders, Inc. on December 22, 1994, Cldmant Simon Menddson Revocable Trust, through counsel David Sydney, Esq., New York, New York, alleged that on July 29,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Estate of Ethel Quirk 94-05495 Name of Respondents American Eagle Financial Services Pershing & Company CASE SUMMARY In a claim fded with the National Association of Securities Dealers, Inc. on December 23,1994, Claimant Estate of Ethel Quirk, represented by Alfred L. Kettiell, Jr., Esq., of Pennington, N.J., alleged that R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Thomas H. Godes Sheila R. Godes 94-05494 Name of Resrx)ndent Nick AmUe CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 23, 1994, Claimants Thomas H. Godes and Sheila R. Godes, who appeared Pro Se, alleged that Respondent Nick .Amlie misrepresented an investment to the

N.A.S.D. AWARD NATIONAL ASSOCLVTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nam^ of Claimant Edward R. Eberling 94-05461 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc James Grogan C4SEJIIMM4RY In a claim filed with the National Association of Securiues Dealers, Inc. on December 22, 1994, Claimant Edward R. Eberling, who appeared Pro Se, alleged that Respondents Merrill Lynch, Pierce, Fenner & Smith,