NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-04439, 01-04848, and 01-04854 First Union Securities Financial Network, Inc., f/k/a JW Genesis Financial Services, Inc., claimant vs. Alan Bergman, respondent. First Union Securities Financial Network, Inc., claimant vs. Edward Monahan, respondent. First Union Securities Financial Networ^, Inc., claimant vs. John Paul Schrader, respondent. ATTORNEYS: For Claimant appeared Gregory Tendrich, E

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-04439, 01-04848, and 01-04854 First Union Securities Financial Network, Inc., f/k/a JW Genesis Financial Services, Inc., claimant vs. Alan Bergman, respondent. First Union Securities Financial Network, Inc., claimant vs. Edward Monahan, respondent. First Union Securities Financial Netwonv, Inc., claimant vs. John Paul Schrader, respondent. ATTORNEYS: For Claimant appeared Gregory Tendrich, E

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-04439, 01-04848, and 01-04854 First Union Securities Financial Network, Inc., f/k/a JW Genesis Financial Services, Inc., claimant vs. Alan Bergman, respondent. First Union Securities Financial Network, Inc., claimant vs. Edward Monahan, respondent. First Union Securities Financial Networ^, Inc., claimant vs. John Paul Schrader, respondent. ATTORNEYS: For Claimant appeared Gregory Tendrich, E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald P. Foley 94-01956 Name of Respondents Tucker Anthony Incorporated James Devins REPRESENTATION For Claimant: Robert R. Berluti, Esq. of Robert R. Berluti and Associates, of Boston, MA. For Respondent Tucker Anthony Incorporated ("Tucker Anthony") and Respondent James Devins ("Devins"): Patrick J. Howley, Esq. of Tucke

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert E. and Windell P. Davis 94-01949 Name qf Respondents Paul J. Witham RAF Financial Corp. Chatfield Dean & Co., Inc. CASE SUMMARY In a claim .filed with, the National Association of Securities Dealers, Inc. on May 25,1994, Claimants, Robert E. Davis and Windell P. Davis ("Claimants"), who appeared Pro Se, alleged

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ronald V. Trense & Elayne B. Nord 94-01948 Name of Respondents First Fidelity Brokers, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 24, 1994, Claimants Ronald V. Trense & Elayne B. Nord, who appeared Pro Se, alleged that Respondent First Fidelity Brokers, Inc. failed to tr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Barbara A. Maier vs. 94-01947 Name of Respondents Conservative Financial Services Inc. William H. Sharp Larry J. Pipkin CASE SUMMARY • * i~- In a claim filed with the National Association of Securities Dealers, Inc. on May 25, 1994, Claimant Barbara A. Maier, who appeared Pro Se, alleged that Respondents Conservative Financial Servi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Clifford C. Wood 94-01945 Name of Respondents Thomas James Associates, Inc. Michael Johnson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 25, 1994, Claimant Clifford C. Wood, who appeared Pro Se, alleged the Respondents Thomas James Associates, Inc. ("TJA") afld Respondent Mi

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Richard A. Saul, Claimant, v. NASD No. 94-1938 Kennedy, Cabot & Company, Gruntal & Company, Ron Roberts and John Aldaco, Respondents. Representation For Claimant: Pro Se, Newark, Ohio For Respondents: George Kupper, Esq. of Kennedy, Cabot & Co., Beverly Hills, California Case Information Statement of Claim filed: May 15, 1994 Claimant's Subm

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-03076 Donald Domingue Names of the Respondents Hearing Site: New Orleans, LA Salomon Smith Barney Inc. Sean J. Coughlin Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For Donald Domingue, hereinafter referred to as "Claimant": Robert L. Broussard, Esq., Jeffrey A. Ackerman, Esq., a