N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Names of Claimants Gerald M. Ziemnicki and Joshua D. Wallach 94-01215 Name of Respondent Piper Jaffray, Inc. REPRESENTATION For Claimants: Gerald M. Ziemnicki ("Ziemnicki") and Joshua D. Wallach ("Wallach") were represented at the hearing by John H. Wright, Esq. of Houston, Texas. For Respondent: Piper Jaffray, Inc. ("Piper") was represen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John M. and Beverly A. Draughon 94-01206 Name of Respondents Merrill Lynch, Pierce Fenner & Smith, Inc.; John Markle For Claimant: John M, Draughon and Beverly A. Draughon ("Draughon") were represented by John M. Draughon, Houston, Texas. For Respondent: Merrill Lynch, Pierce Fenner & Smith, Inc. ("Merrill Lynch") and John

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward J. Dunne 94-01205 Names of Respondents Chris Richardson Maurice Cohen REPRESENTATION Claimant Edward J. Dunne appeared pro se. For Respondent Maurice Cohen ("Cohen") appeared Donald N. Cohen, Esq., Assistant General Counsel of Gruntal & Co., Inc., located in New York, New York.. For Respondent Chris Richardson ("

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Douglas and Patricia Poole Claimants) NASD Arbitration v. No. 94-01187 Smith Barney Harris Upham & Co., Inc. Michael E. Kolb Respondents) REPRESENTATION OF PARTIES Douglas and Patricia Poole ("Claimant") was represented by Anthony M. Englese, Esq., San Francisco, California. Smith Barney Harris Upham & Co., Inc. ("Respondent") was represe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-03001 Carine V. Alma, claimant vs. Raymond L. Dirks, respondent. ATTORNEYS: Claimant appeared pro se, Garden City, NY. For Respondent appeared A. Joseph Tandet, Esq., New York, NY. DATE FILED: June 6, 2001 CASE SUMMARY: Claimant alleged that respondent failed to pay the remaining balance due under their employment agreement. Claimant maintained that due to respondent's actions, she

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofCIaiinant Bernie Simon Award No. vs. 94-01185 Name of Respondents ' Bear Stearns & Company Stratton Oakmont, Inc. Daniel M. Pomsh REPRESENTATION For Claimant, Bernie Simon ("Claimant"), Ralph A. Cant, Esq., located in New York, New York. For Respondents, Bear Stearns & Company, Stratton Oakmont, Inc. and Daniel M. Pomsh ("Resp

NASD REGULATION 8002 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTTIFS DEALERS John Philip Langley, Claimant, v. No. 94-01181 B.C. Christopher, Division of Fahnestock & Co., Inc., and Fahnestock A Co., Inc., Respondents. v REPRESENTATION OF PARTIES Claimant John Philip Langley ("Claimant") was represented by Jeff Zimmerman, Esq., and James M. Holmbcrg»Esq., Shawuee, Kansas. Respondents B.C. Christopher, Division of Fahnestock & C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS * In the Matter of Arbitration Between Byron Olson vs. 94*01169 Chase Securities. Inc. For Claimant, David I. Faust, Esq. of Faust, Rabbach, Stanger & Oppenheim, New York, NY For Respondent, Edward A. Brill, Esq. of Proskauer, Rose, Geotz & Mendelsohn, New York, NY CASE INFORMATION Statement of Claim filed: March 28, 1994 Claimant's Answer to Respondent's Counterclaim filed: Septe

N.A.S.D. AWARD •. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Roy M. Berry 94-01168 Name of Respondent(s) D.H. Blair & Company CASE SUMMARY In a claim filed with National Association of Securities Dealers, Inc. on March 29, 1994 Claimant Roy Berry, who appeared Pro Se, alleged that Respondent D.H. Blair and Co., Inc., through Richard Molinsky, misrepresented the security Euro-Dis

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Charaniit and Mary Jane Rai and Fidelity Brokerage Services. Incorporated and Edward Johnson. M and Neil Rhein NASD Case Number 94-01167 REPRESENTATION OF PARTIES Claimants, Charanjit and Mary Jane Rai were Pro Se and were represented at the hearing by Charanjit Rai only. Respondents, Fidelity Brokerage Services, Inc., Edward Johnson, in and