NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) National Securities Corp. Claimant ) ) AWARD vs. ) CASE NO. 88-00427 J. Bradford Shi ley Respondent ) SUMMARY OF ISSUES The claim was filed February 9, 1988. Claimant alleged that Respondent requested that Claimant sell 1,350 shares of Del-Rio Resources and Respondent delivered a stock certificate to Claimant. Claimant alleged that it mistakenly sold shar

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sid Paterson Claimant vs. Gladston Securities, Inc. Adler, Coleman & Co., Inc. vs. Barton Bereck Respondents Third Party Respondent ) Case #88-00412 ) Award CASE SUMMARY Claimant alleges Respondents failed to properly execute instructions to sell 2000 shares of Robotool Ltd. Respondent Adler, Coleman & Co., Inc. deny re- sponsibility

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jan L. Greco 94-02266 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc. CASE SUMMARY t In a claim filed with the National Association of Securities Dealers, Inc., on June IS, 1994, Claimant, Jan L. Greco, who appeared Pro Se, alleged that Respondent Merrill Lynch, Pierce, Fenner and Smith, Inc., made misrepresent

Ru C 26,03 09,40. MIKE MCLRUGHLIN REG. DIR. 6XQ-415-1267 Stipulated Award NASD Dbpute Resolution In the Matter of the Artairaifon Between; *' 01-4X3182 Ngrneh and Patricia Ng Prudential Securities* IDC, "VVnfiamDexttrJcnkiQS David Lewis Capin PA Claimants, Zahi Ngmch and Patricia Ngmch, faercinafler collectively referred to as \vcre represented By Nirfwlas J- GnoHano, Esq., Attorney at JUw, Kaladd^hia, PA. Respondents, Ptudential

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Kenneth E. and Thelma E. Carpenter 94-02264 Name of Respondents Robert A. Breed Martin Arias William Badinelli CASE SUMMARY In a claim filed with thiTNational Association of Securities Dealers, Inc. on June 15, 1994, Claimants Kenneth E. and Thelma E. Carpenter, who appeared Pro Se, alleged that Respondents Robert A. B

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barbara E. Monroe 94-02258 Name of Respondents Edward D. Jones & Co. Ronald David Bussey Kenneth William Boyd CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 15, 1994, Claimant Barbara E. Monroe, who appeared Pro Se, alleged that Respondents Ronald Bussey ("Bussey"), Kenne

AWARD NASD Regulation. Inc. In the matter of the Arbitration Between Name of Claimant(s) Orlan E. Wood Arbitration NO. 94-02254 Name of Respondent(s) Terence J. Murphy Robert Den Herder REPRESENTATION For Claimant: Jack G. Orr, Esq., Harris, Mericle, Orr, Wakayama & Mason, Seattle, Washington For Respondent Robert Den Herder: Linda M. Deola, Esq., Reynolds, Motl, and Sherwood, Helena, Montana For Respondent Terence J. Murphy

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Homan Hamidi, Claimant, v. NASD No. 94-2253 Trigem Amerstock Corporation and Deepesh Patel, Respondents. Representation For Claimant: Pro se, Irvine, California For Respondent Trigem Amerstock: Irving Einhorn, Esq. of Einhom and Edgerton, Los Angeles, California For Respondent Deepesh Patel: Amy Peters, Esq. of Diamond Bar , California Case

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants M. Danny and Ellyn Levin 94-32248 Name of Respondent Stephen M. Hischier CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 15, 1994, Claimants M. Danny and Ellyn Levin, who appeared Pro Se, alleged that Respondent Stephen M. Hischier, made misrepresentations and did not properly ha

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name ofClaimant David Zapiler, individually and as Custodian for Sarah Zapiler and 94-02246 Name of Respondent Waiford&Co. REPRESENTATION OF PARTIES David Zapiler, individually and as Custodian for Sarah Zapiler ("Claimant") was represented by Marc H. Schtul, Esq., Isaacson, Rosenbaum, Woods, & Levy, P.C., Denver, Colorado. Walford & Co. ("Re