N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between «, Mark Scarmazzo, Claimant, vs. 94-01807 Frederick Moss and Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondents. REPRESENTATION Claimant, Mark Scarmazzo, appeared pro se. For Respondents, Frederick Moss and Merrill Lynch, Pierce, Fenner & Smith, Inc., Christopher Cavouti, Esq. CASE INFORMATION Statement of Claim filed: May 12,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mary H. Norch 94-01799 Names of Respondents Shearson Lehman Brothers, Inc., Smith Barney Shearson, Inc., Frederick Bobrek, Anthony Gilbert, and Rodney Gray REPRESENTATION Claimant, Mary H. Norch was represented by David Hilton, Esq. of El Paso, Texas. Respondents, Shearson Lehman Brothers, Inc. n/k/a Smith Barney Sh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Catherine Sheffield 94-01795 Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Scott M. Griswold REPRESENTATION For Claimant, Catherine Sheffield: Jane A. Sirak, Esq., West Palm Beach, Florida. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill"): David P. Ackerman, Esq. of the law firm of Acke

Award NASD Dispute Resolution in tne Matter ot tne Arbitration Between: Name of the Claimant Case Number: 01-03066 The William Shelley Trust Name of the Respondent Hearing Site: Boca Raton, Florida Salomon Smith Barney, Inc. REPRESENTATION OF PARTIES Claimant The William Shelley Trust ("Shelley") appeared pro se. For Salomon Smith Barney, Inc. ("SSB"), hereinafter referred to as "Respondent": Anne Parry, Senior Vice President, Associate General

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claiinant Kidder, Peabody & Co., Incorporated Case No. 94-01794 Name of Respondents Ross A. Freitas F/S Investments Corp. • • REPRESENTATION For Claimant, Kidder, Peabody & Co., Incorporated ("Kidder"): Richard Kelley, Esq. of Kidder, New York, NY. For Respondents, Ross A. Freitas ("Freitas") and F/S Investments Corp. ("F/S"

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants William Asher and Joyce Asher NASD Regulation, Inc. Arbitration No. 94-01793 Name of Respondents Reynolds Kendrick & Stratton, Inc., Robert Kendrick and Ruth Sutherland REPRESENTATION For Claimants: Joyce Asher For Respondent Reynolds Kendrick & Stratton, Inc.: Jeffery S. Kob, Esq. and Cynthia M. Schleindl,

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION ARBITRATION AWARD NASD REGULATION. INC. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Howard Siege! NASD Regulation, Inc. v. Office of Dispute Resolution Arbitration No. 94-01790 Name of Resoondents Prudential Insurance Company of America and James Dinges REPRESENTATION For Claimant: Alan R. Ball Law Office of Ball, Pyfrorn, Yorke

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Claimant Harold DeLong Case 94-01787 Respondents McLaughlin, Piven, Vogel Securities Marcus Nagel CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 12, 1994, Claimant Harold DeLong, who appeared Pro Se, alleged'- that Respondents McLaughlin, Piven, Vogel Securities ("McLaughlin") and Ma

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Norman G. Brown 94-01781 Name of Respondents Dean Witter Reynolds, Inc. Paul Henley CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 12, 1994, Claimant Norman G. Brown, through his representative, Robert M. Roth, R.M. Roth & Associates, Appleton, WL, alleged that Respondents Dea

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Naomi Levine and Mark Levine 94-01779 Name of Respondents Hibbard Brown and Company, Inc. Richard Dorsi Jeffrey Schult Susan Torpie CASE SUMMARY In a claim filed with the National Association of Securities Dealer, Inc. on May 12, 1994, Claimants Naomi and Mark Levine ("Claimants"), who appeared Pro Se, alleged that