N.A.S.D. AWARD NA'nONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Qaunam Lynn N. Merolla 95-02969 WMB9fRWP9lriffqtt James A. Revds La Jolla Capital Corporation CASE SUMMARY In a claun filed widi die National Association of Securities Dealers, Inc. on June 19, 199S, Qaimant Lynn N. Merolla, who ^ipeared Pro Se, alleged that Respondents La Jolla Capital Corporation ("LJC^), and James A. Revels ("Rev

N.A.S.D. AWARD NA'nONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Qaimant Eugene Krc 95-02830 Name of Respondem Stratton Oakmom Inc. CASB SUMMARY In a claun filed with the National Association of Securities Dealers, Inc. on June 12, 1995, Qaunam Eageae Krc ("Qaimam'*), who appeared Pro Se, alleged.dut Respondem Stranon Oalonom Inc. C^Respondem"), dirou^ its rqwesNitative J. Liebennann, recommended dia

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of Claimant Henry C. Wheelwright 95-02828 ^f«ltf9fRf8WlriWt Michael C. Nolan :• .• CASE SUMMARY In a claim filed with die National Association of Securities Dealers, fioc. on June 12, 1995, Qaitfiant Henry C. Wfaedwrigbt (''Qaunant*), who appeared Pro Se, alleged diat Retpondent Michad G.>^N61a^ ("Respondem!*), while employed by Bear, Stea

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Orville G. and Carol L. Ransford 95-02775 Name of Respondent James Greene CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 8, 1995, Clumants Orville G. and'Carol L. Ransford ("Claimants"), who appeared Pro Se, alleged, that Respondent James Greene ("Respondent"), on July 7, 1993.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frank Fonino 95-02694 Name of Respondent Charles Schwab &. Company, Inc. CASE SUMMARY In a claim filed with the Nation^ Association of Securities Dealers, Inc. on June 2,1995, Qaunam Frank Fortino ("Qaunant"), who vppeanA Pro Se, allied that Respondoit Charles Schwab & Conqnny, Inc. ("CSC"), sold him 10,000 shares of Midway Air

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Walter Weaver and Patricia Weaver, (Claimants) vs. Janney Montgomery Scott, LLC and Austin Healy, (Respondents) Case Number: 01-04249 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Walter Weaver ("W. Weaver") and Patricia Weaver ("P. Weaver")* hereinafter collectively referred to as "Claimants": Robert Bertsch, Esq., Bertsch & Associates, Port Washington,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Mattn of die Aibitration Between Jack I. Carson 95-02692 Smith Barney Shearson, Inc. Andrew J. Stover CASE SUMMARY In a claun filed with the National Association of Securities Dealers, Inc. on June 2,1995, Qaunam Jack I. Carson ("Qaunam"), who appeared Pro Se, alleged that Respondents Smith Barney Shearson, Inc: ("SBS"), and Andrew J. Stover ("Stover"), made unauthorized trades in

AnnRNDITM TO M A S n. AWAPD NATTrtNAT. A.^S.^tfyTATTON OF SRCTTRTTTP,< ; nPATFP.9 TMr In the matter of the Aibitration Between IManne nf riaimant(s) CXirtGearen Namft nf Respnndent(s) Charles Schwab & Co., Inc. NASD Arbitration NO.95-0266S RF.I>RF.SF.NTATTnN ForQaifoant: ForBespondent: Thomas C. Korcovelos, Esq. Koicovelos & Pony Manhattan Beach, CA Joel Boxer, Esq. Los Angeles, Califomia rA.< nr iNFniiMATTr>T\r Sta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Nicholas K. Scalfano 95-02638 Name of Respondents Investment Management & Research, Inc. Eagle Asset Management. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on June 2. 1995. Claimant Nicholas K. Scalfano ("Claimant"), who appeared Pro Se, alleged that Respondent Invjestpient

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In die Matter of the Arbitration Between NameofClamiants Paul & Patricia Ericksen 95-02637 Name of Respondent Hanover Sterling & Con9any,Ltd. CASESUMMAHY In a claim filed whfa the National Association of Securities Dealers, Inc. on June 2,1995, Qaimanb Paul and Patricia Ericksen, who ^ipeared Pro Se, alleged that Respondem Hanover Sterlmg & Co., Ltd., failed to execute a sale of stock