^ey NASD Arbitration No. 96-00707 WtAtS.P. AWftRp NATIONAL ASSOCIATION OF SECURITIES DRAT.ER.q . TNC ."^ ^ ' -^ " ' -' In the matter of the Arbitration Between Name of Claimant(si Thomas J. Bradley Name nf Respondent;s) Smith Barney Shearson, Inc. Oliver B. Kiel, III REPRESEMTATIQM For Claimant: Thomas J. Bradley, Ramona, California For Respondents: Alejandro Schwed, Esq., Smith Barney Inc., New York, New York CASE INFORMATIO

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter ofthe Arbitration Between Name of Claimants Ruby F. Aticinson and Ann A. McDaniel (JTTEN) 96-00281 Name of Respondents Dean Witter Reynolds Inc. Suzanne Emerson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 19,1996, Ruby F. Atkinson and Ann A. McDaniel ("Claimants"), who appeared Pro Se, alleged that Respondent Suz

N.A.S.P. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In die matter of die Arbitration Between Name of Claimantfs) Larry Sollod Name of Respondent's) Margaret Boland NASD Arbitration No. 96-00030 For Claimant Larry Sollod: REPRESENTATION For Respondent Margaret Boland: Paul W. Thomas, Esq. Carlsbad, California No written appearance; Appearance in pro per at telephonic pre-hearing conference. Statement of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: p nf the riamiant Case Number 01-05032 William Wesley Palmer f* nf the Respondent Rearing Site: Pittsburgh, PA Hackett Associates, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant, William Wesley Palmer, hereinafter referred to as "Claimant", represented himself at the hearing. Respondent, Hackert Associates, Inc., hereinafter

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Robert H. Edeline, Claimant and Counter-Respondent, and No. 95-04966 Merrill Lynch, Pierce Fenner & Smith, Inc. Respondent and Counter-Claimant. Consolidated with: In the Matter of Arbitration Between Menill Lynch, Pierce Fenner & Smith, Inc., Claimant, and No. 95-00771 Anthony W. Gebhardt, Respondent, and Anthony W. Gebhardt and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUIUTIES DEALERS In the Matter of the Aibitration Between Name of Claimants Peter P. and Irene Zangara 95-04192 Name of Resoondents Suite 1(X) Investment Services, Inc. John A. Grant First National Bank & Tmst Company of the Treasure Coast For Claimants Peter P. and Irene Zangara ("the Zangaras): Jane A. Sirak, Esq. of the law office of Jane A. Sirak, West Pahn Beach, FL. . For Respondents Sui

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter ofthe Arbitration Between Name of Claimant Olde Discount Corporation and NASD Case Number: 95-04055 Name of Respondent The Huntington Investment Company OF PARTIES Claimant Olde Discount Corporation ("Claimant" or "Olde") was represented by Francis R. Ortiz, Esq. of Dickinson, Wright, Moon, Van Dusen & Freeman located in Detroit, Michigan. Respondent The Huntii^on

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert and Barbara Lidz :*5-03*3*' Name of Respondents Josephthal Lyon & Ross Inc. Matthew Fields REPRESENTATION For Claimants, Roben and Barbara Lidz (collectively known as "Claimants"), Richard L. Herzfeld, Esq. of the law firm Rosen. Einbinder & Dunn, P.C. located in New York. New York. For Respondent Josephthal Lyo

FINAL ORDER NASD Regulation, Inc. Office of Dispute Resohition In the Matter ofthe Arbitration Between George W. Wright, Jr. and PhaU Wright Claimants, and No. 96^3509 Robert Thomas Securities, Inc., Raymond James & Associates, Inc., Thomson McKinnon Securities, Inc., and James C. Wainwright, Jr., Respondents. Claimants George W. Wright, Jr. and PhaUi Wright ("Ckumants") were rqpresented by Louis L. Ptotidn, Eaq. of Gertier, Gertier, Vin

97-03272 N.A.S.D. AWARD NASD R^iulation, Inc. Office of Dispute Resolution In tbe Matter of the Arbitration Between Robert G. and Betty E. Gratiy Gentry Family TVust D.L. Cromwell InvestmentB, Inc. Arthur Alonzo For Claimants: Stephen D. Spivey, Esq., Ocala, FL. For Respondent D.L. Cromwell lavestments. Inc. ("Croinwell"): Gaiy A. Gbecnay, Esq. of Cohen, Cbernay, Notris, Weinberger, et al. North Palm Beach, FL. For Respondeat Arthur Alonzo