N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds, Inc. 94-00894 Name of Respondent Americo Longo, Jr. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 9, 1994, Claimant Dean Witter Reynolds, Inc., through it's representative and in-house counsel, Erica A. Bunin, Esq., alleged that Respondent Americo Longo, J

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between Robert W. Hyatt 94-00893 Name of Respondents LaJolla Capital Corp. Emmett A. Larkin & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 9, 1994, Claimant Robert W. Hyatt, who appeared Pro Se, alleged that his broker at Respondent LaJolla Capital Corp. ("LaJolla") tailed to close his a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Howard M. Silverman 94-00566 Name of Respondent Richard A. Devine REPRESENTATION Claimant Howard Silverman ("Claimant"), appeared pro se. For Respondent, Richard A. Devine ("Respondent"), Lloyd Clareman, Esq., located in New York, New York. CASE INFORMATION Statement of Claim filed: February 12, 1994 Claimant's Subm

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between JANICE B. HEIM, an individual, and as Trustee of the J.B. HEIM REVOCABLE TRUST, Claimants, v. NASD No. 94-00561 DAVID A. PARK, DIANA R. MARINIELLO-PARK, DAVID DUKE MANAGEMENT CORP., DDM EQUITY MANAGEMENT CORP., DAVID DUKE FINANCIAL, INC., DELTAVEST FINANCIAL, INC., LARRY P. CARHARTT and MICHAEL E. PLATT, Respondents. Representation For Claim

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant RBC Dain Rauscher Inc. and 01-02942 Phoenix, Arizona Name of Respondent Jon C. Otto REPRESENTATION OF PARTIES RBC Dain Rauscher Inc. ("Claimant") was represented by Frank Lewis, Esq., Begam, Lewis, Marks & Wolfe, Phoenix, Arizona. Jon C. Otto ("Respondent") appeared pro se, CASE INFORMATION The Statement of Claim was filed on or about Ju

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant DFB (Australia) PTY, Ltd. 94-00558 Name of Respondent M. Rimson & Co., Inc. REPRESENTATION For Claimant DFB (Australia) PTY, Ltd. (hereinafter referred to as "Claimant") was represented by Haig V. Kalbian, Esq. of the Law Offices of Haig V. Kalbian, Washington, D.C. For Respondent M. Rimson & Co., Inc. (hereinafter referred

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jose De la Hoz & Marina De la Hoz 94-00556 Name of Respondents Gary S. Boccio Ahmed Bashir CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 15,1994, Claimants Jose De la Hoz and Marina De la Hoz, who appeared Pro Se, alleged that Respondent Ahmed Bashir of Citicorp made mi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Stanley Tobias NASD Arbitration 94-00552 vs. Name of Respondents IDS Financial Services Inc. IDS Life Insurance Co., Inc. IDS Financial Corporation REPRESENTATION For Claimant: Kenneth A. Burns, Esq., Las Vegas, Nevada For Respondents: Carol Davis Zucker, Esq., Beckley, Singleton, DeLanoy, Jemison & List, Chtd

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ethel Fraga Case# vs. 94-00548 Name of Respondent Michael McNamara REPRESENTATION Claimant, Ethel Fraga ("Claimant"), represented herself at the hearing. For Respondent, Michael McNamara ("Respondent"), Thomas G. Nicholson, Esq., from the firm of Finneran & Nicholson, P.C., located in Newburg Port, Massachusetts. CASE I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald R. Sutherland 95-00546 Name of Respondents Paul Johnson Thomas James Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 30, 1995, Claimant Donald R. Sutherland ("Sutherland"), who appeared Pro Se, alleged that Respondent Paul Johnson ("Johnson") while e