N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter ot the Arbitration Between Name of Claimant Edna C. Dicken 94-00823 Name of Respondent Hampton Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 3, 1994. Claimant Edna C. Dicken. who appeared Pro Se, alleged that Respondent Hampton Securities, Inc., through its representative Frank A. Escobar used high press

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between * Name of Claimant James Sheehan 94-00815 Name of Respondent Michael J. Rice Representation of Parties Claimant James Sheehan appeared at the hearing and was represented ProSe, Respondent Michael Rice did not appear at the hearing but was present by speaker phone and was present Pro Se, Case Information Claimant's Statement of Claim

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Kitty R. Chestnutt, and No. 94-0813 Name of Respondents Dean Witter Reynolds, Inc., and Kinch Meyer, Jr. REPRESENTATION OF PARTITA Kitty R. Chestnutt ("Claimant") was represented by Alan E. McNally, Esq. of and Joe Heflin, Esq. of Lubbock, TX. Dean Witter Reynolds, Inc. and Kinch Meyer, Jr. ("Respondents") were represente

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Bradley J. Ainsworth Trust Bradley J. Ainsworth 94-00804 Name of Respondents Raymond James & Associates, Inc. Sebastian Zimmardo Donna A. Sheehy REPRESENTATION For Claimants, Bradley J. Ainsworth Trust and Bradley J. Ainsworth ("Ainsworth"): H. Douglas Powell from H. Douglas Powell, P.A., Plantation, Florida, and Arnol

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Christopher M. Early vs. 94-00802 Name of Respondents Rothschild Global Investments, Inc. Daniel Brucato Jim Leavy CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 1, 1994, Claimant Christopher M. Early, who appeared Pro Se, alleged that Respondents Daniel Brucato ("Brucat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Peter Baker 94-00801 Name of Respondents A.S. Goldman & Co. Ian Hosing CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 2,1994, Claimant Peter Baker, through his representative Brian K. Lowe, alleged that he told Respondent Ian Hosang ("Hosang"), a broker at Respondent A.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mark Haber 94-00800 Name of Respondents Prudential Securities, Inc. John R. Anastasia CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 1, 1994, Claimant Mark Haber, who appeared Pro Se, alleged that Respondents Prudential Securities, Inc. and John R. Anastasia gave him mislead

N.A.S.D. AWARD •• NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Murray Greenberg 94-00799 Name of Respondent(s) First Interregional Equity Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 2, 1994, Claimant Murray Greenberg, who appeared Pro Se, alleged that Respondent First Interregional Equity Corp. failed to inform him o

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Steven Lloyd Higgins and Susan Nelson Higgins, Trustees of the Higgins Family Trust, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent Case Number: 01-02955 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Jeffrey M. Byer, Esq. Sandier, Lasry, Laube, Byer & Valdez, LLP San Diego, California For Respondent: Michael M. G

N.A.S.D. AWARD f NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Comprehensive Capital Corporation 94-00798 Name of Respondents') Louis Charles Miceli, Jr. REPRESENTATION For Claimant Comprehensive Capital Corporation: Steven V. Kevorkian, Chief Financial Officer, Comprehensive Capital Corporation. The Respondent appeared pro se. CASE INFORMATION Statement of Claim filed: Februar