N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Maty M. Hisgen 94-00763 Name of Respondents') Prudential Securities Inc Demonic (Tom) Pierdomonici REPRESENTATION •""^"••^^^•"••"•'••^~' » Claimant, Mary Hisgen ("Hisgen") was pro so, f For Respondents, Prudential Securities, Inc. ("Prudential") and Demonic (Tom) Pierdomonici ("Pierdomonici"): Robert Saperstien, E

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Nubia International Corporation and 94-00759 of Resondent Inverworld Securities, Ltd. REPRESENTATION OF PARTIES Nubia International Corporation ("Claimant") was represented by Reese L. Harrison, Jr., Esq., Oppenheimer, Blend, Harrison & Tate, San Antonio, TX. Inverworld Securities, Ltd. ("Respondent") was represented by Edwar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Salvatore R. Cermto 94-00749 Name of Respondent GKN Securities Corporation REPRESENTATION For Claimant, Salvatore R. Cerruto ("Claimant"), appeared Nicholas K. Notias Esq. , Of Counsel to Rosenberg, Singer & Bienenstock located in New York, New York. For Respondent, GKN Securities Corporation ("Respondent"), appeared David S. Sm

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Colesi Limited NASD Case No. 94-00747 Name of Respondent Dean Witter Reynolds Inc. REPRESENTATION For Claimant. Colesi Limited ("Claimant"). C.W. Koenigsberger located in London. England. For Respondent. Dean Witter Reynolds. Inc. ("Respondent"), Bill Peterson, in-house counsel. CASE INFORMATION Statement of Claim tiled

N.A.S.D. MODIFIED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between V Name of Claimants Harold R. and Ruth D. Thomas 94-00746 Name of Respondents Prudential Securities, Inc. Myriam Aguirre Steve Cassady Danny Walsh CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 28, 1994, Claimants Harold R. and Ruth D. Thomas ("Claimants"), who appeared P

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David Szymanski 94-00743 Name of Respondents Olde Discount Corporation Brian McClive Michael Tafelski CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 25, 1994, Claimant David Szymanski, who appeared Pro Se, alleged that based on the advice of Respondent Brian McClive

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paul J. Tripodi 94-00742 Name of Respondent Timothy J. Shipley Hibbard Brown & Co. Inc. (bankrupt) CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 28, 1994 Claimant Paul J. Tripodi ("Claimant"), who appeared Pro Se, alleged that he held an account at Hibbard Brown & Co., I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James Sheehan 94-00735 Name of Respondent Brian J. Baker Representation of Parties Claimant, James Sheehan ("Sheehan") represented himself at the hearing. Respondent, Brian J. Baker ("Baker") represented himself via telephone conference call. Case Information Claimant's Statement of Claim was filed on February 28, 1994. Cla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Kim Williams NASD Arbitration #9400721 vs. Name of Respondent BA Investment Services, Inc. Mark Nunes REPRESENTATION For Claimant: Karl R. Molineux, Esq., Smith, Merrill & Peffer, San Ramon, California For Respondent BAIS: Arne D. Wagner, Esq., Bank of America, San Francisco, California CASE INFORMATION Statem

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Dr. John Toscano and Mary-Ellen Toscano, individually, Jointly, and as custodians and trustees Toscano, Defined Benefit Pension Plan John, Mary Toscano C/F Julie & Lisa Toscano John P. Toscano O.D. Profit Sharing Plan Award No. vs. 94-00720 of Respondents Dean Witter Reynolds Inc. Rick F. Ryan Louis M. Ricciard