N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Tushar Vashi 94-00993 Name of Respondents) ETrade Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 16, 1994, Claimant Tushar Vashi, who append Pro Se, alleged that Respondent E* Trade Securities, Inc. bought without his knowledge 20 OEXMG options, and that when he attempted to complai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS * In tne Matter or the Arbitration Between Name of Claimant Barbara Morris 94-00992 Name of Respondent Legend Capital Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on March 16. 1994. Claimant Barbara Morris, through her representative Richard C. Hubbard. POA. alleged that Respondent Legend Capital Corporation, through its repre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaimante William W. and Joyce E. Novak 94-00990 Name of Respondents Merrill, Lynch, Pierce, Fenner & Smith, Inc. Floyd Irvin Barnett CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 15, 1995, Claimants William W. and Joyce E. Novak ("Claimants"), who appeared Pro Se, alleged that Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Interstate/Johnson Lane 94-00989 Name of Respondent Jack Lane Yarboro For Claimant: Pamela P. Warnement, Esq., of Interstate/Johnson Lane Corporation, Charlotte, North Carolina. For Respondent: Respondent Jack Lane Yarboro did not appear at the hearing. CASE INFORMATION Statement of Claim filed: March 3, 1994. Amended S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Matt Kennedy 94-00973 NaineofRfiSoondentfs} Josephthal Lyon & Ross, Inc. Ralph Wood For Claimant Matt Kennedy ("Claimant") appeared J. Pat Sadler, Esq., of the law firm of Sadler & Associates, located in Atlanta, Georgia. For Respondents Josephthal, Lyon & Ross, Inc. ("Josephthal") and Ralph Wood ("Wood") appeared Robert

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joan Russo 94-00972 Name of Respondent Educators Financial Management Matthew Leo REPRESENTATION For Claimant: Christopher W. Critelli, Esq., Garden City, New York. For Respondents: Matthew R. Leo, Sedona, Arizona. CASE INFORMATION Statement of Claim filed: February 1, 1994. Claimant's Submission Agreement signed on

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant lames Gibbings 94-00969 Name of Respondent Olde Discount Corporation REPRESENTATION^ For Claimant: James Gibbings ("Gibbings") was represented by Cheryl D. Bloom, Esq. of Bloom and Bloom, P.C., located in Farmington Hills, Michigan. For Respondent: Olde Discount Corporation ("Olde") was represented by Timothy H. Hewlett, Es

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between » Name of Claimant (s) Yeh-Hua Peter Chuan of Resondent (g) NASD Arbitration No. 94-00968 Kennedy, Cabot & Co. REPRESENTATION For Claimant: Yeh-Hua Peter Chuan, Santa Monica, California For Respondent: George Kupper, Esq., Kennedy, Cabot & Co., Beverly Hills, California CASE INFORMATION Statement of Claim filed: March 9, 1

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant R.J. Steichen & Company, Inc. 94-00965 Stipulated Award Name of Respondent Peter N. Voldness Representation of Parties Claimant, R.J. Steichen & Company ("Steichen") was represented by Seth M. Coltoi^ Esq. of Maun and Simon, St. Paul, Minnesota. Respondent, Peter Voldness ("Voldness") was unrepresented. Infor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant William R. Bray 94-00963 Names of Respondent McDonald & Company Securities, Inc. REPRESENTATION Claimant, William R. Bray ("Bray") was represented at the hearing by Mark Briol, Esq., and Gregory L. Wilmes, Esq., of Briol & Wilmes, Minneapolis, Minnesota. Respondent McDonald & Company Securities, Inc., ("McDonald") was rep