N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Phillip Weisser 94-01838 Name of Respondents Charles Schwab & Co., Inc. Michael Higgins Ned Samuels CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 13, 1994, Claimant Phillip Weisser, who appeared Pro Se, alleged that he was not properly advised by Respondent Ned Samuels (

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between GKN Securities Corp. 94-01837 Name of Respondent Randall Cohen CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 17, 1994, Claimant GKN Securities Corp., through its in-house counsel, Katherine Nathan, Esq., alleged that Respondent Randall Cohen commenced employment with the Claimant on or about October

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-03071 Anthony J. Mirigliani, IRA Lucille T. Mirigliani, IRA Anthony J. and Lucille T. Mirigliani, Joint Revocable Trust, DTD 1/29/99 Names of the Respondents Hearing Site: Tampa, Florida Michael Stone Thomas Jackman Morgan Stanley Dean Witter, Inc. REPRESENTATION OF PARTIES For Anthony J. Mirigliani, IRA ("A. Miriglia

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Pauli & Company Incorporated, Claimant, v. No. 94-01834 Stephen R. Kovac, Respondent, REPRESENTATION OF PARTIES Pauli & Company Incorporated ("Claimant") was represented by Kevin J. Lorenz, Esq., of McMahon, Berger, Hanna, Linihan, Cody & McCarthy, St. Louis, Missouri. Stephen R. Kovac ("Respondent") was represented by Mitchell A. Margo, Esq.

NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Donald R. & Rosena Bell and 94-01826 Name of Respondent Prudential Securities, Inc., Daniel Zessinger, and Sandra Logay REPRESENTATION OF PARTIES Claimant's Donald and Rosena Bell ("Claimant's") were represented by Steven H. Akre, Esq., of Lewis, Rice & Fingerish, located in St. Louis, MO. Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Paul Giacini, Claimant, -vs- Case Number: 94-01819 Sherwood Securities Corp., Respondent. For Claimant Paul Giacini ("Claimant"), Jeffrey L. Liddle, Esq. from the law firm of Liddle, Robinson & Shoemaker located in New York City. For Respondent Sherwood Securities Corporation ("Respondent"), Thomas J. McCabe, Esq., New York City. CASE INFOR

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name jf Claimant S. N. Phelps & Co. Name of Respondent 94-01817 Geneva Securities, Inc. Name of Third Party Respondent Miller, Johnson & Kuehn, Inc. M REPRESENTATION For Claimant S.N. Phelps & Co., ("Claimant") appeared George W.M. Thomas, Esq., Vice President and General Counsel of S.N. Phelps located in Greenwich, Connecticut. For Res

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Name of Claimants NASD Arbitration Richard and Justine Holme No. 94-01815 V. Name of Respondents Smith Barney Shearson. Inc. Gary Handler REPRESENTATION Claimants were represented by John J. Gilligan, Esq., Gyler, Gilligan and Osborn, Long Beach, California Respondents were represented by Sean J. Coughlin, Esq., Smith Barney, Inc.. New York, New Yor

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Teri Kahn Cohen; Ludwig Kahn, TTEE/Dianna Kahn Trust; Ludwig Kahn, TTEE/Heidi Kahn Trust; Ludwig Kahn, Randolph Kahn; Theodore L. & Lillian Kahn Joint Trust; Morris Katz; John Persa and 94-01812 Name of Respondents Oppenheimer & Company, Inc. Patrick Jage REPRESENTATION OF PARTIES Teri Kahn Cohen, Ludwig Kahn, TTEE/D

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Howard C. Chiten Award # vs. 94-01809 Name of Respondents A.S. Goldmen & Co. Robert Langsam REPRESENTATION For Claimant, Howard C. Chiten ("Claimant"), Edwin R. Chyten, Esq., Esq., located in Chestnut Hill, Massachusetts. For Respondent, A.S. Goldman & Company ("A.S. Goldman"), Roger Crane, Esq. and Toclci B. Marcus