NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between NASD No. 93-4698 DORRIS ASH, individually and on behalf of the DORRIS ASH IRA and the DORRIS ASH IRA ROLLOVER and as the trustee for the J & D ASH ENTERPRISES, INC. PROFIT SHARING PLAN; J & D ASH ENTERPRISES, INC.; JOHN ASH, individually and on behalf of the JOHN G. ASH and the JOHN G. ASH IRA ROLLOVERS, Claimants, v. SUTRO & CO., INCORPORAT

N.A.S.D. REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Mithat Abbak Mithat Abbak as custodian for Yasin Abbak 93-04697 Name of Respondents Brooklyn Capital & Securities Trading Christopher Knight S.D. Cohn and Co., Inc. Elliot, Allen & Co., Inc. n/k/a Duke & Co., Inc. Neidiger, Tucker, Bruner, Inc. Keith Greenberg Edward Maher Stev

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Nasser A. Almwisheer Aziza A. Almoysheer 93-04691 Name of Respondents Jonathan Harbach Christopher Zelesnick REPRESENTATION Claimants Nasser A. Almwisheer ("Almwisheer) and Aziza A. Almoysheer ("Almoysheer") appeared at the hearing pro se. Respondents Jonathan Harbach ("Harbach") and Christopher Zelesnick ("Zelesnick")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nfame of Claimant Isabella Braccia 93-04684 Name of Respondents Shearson Lehman Brothers, Inc. (n/k/a Smith Barney, Inc.) Irwin F. Forman REPRESENTATION For Claimant Isabella Braccia ("Claimant"): Edward Fackenthal, Esq. of the law firm of Henderson, Wetherill, O'Hey & Horsey For Respondent Shearson Lehman Brothers, Inc. ("Shearson") and Ir

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaimanUs) Bess Carrier 93-04682 Name of Respondents) PaineWebber, Inc. Alan Morris CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 10,1993, Claimant Bess Carrier, through her representative, Barry Alper of Securities Arbitration Consultants, Inc. of Boca Raton, FL, alleged that Resp

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-02830 Carol A. Hillman, claimant vs. Quick & Reilly, Inc., respondent. ATTORNEYS: For Claimant appeared Joseph K, Wehby, Esq., Ft. Wright, KY. For Respondents appeared Samantha E. Kefford, Esq., In-house Counsel, New York, NY. DATE FILED: May 30, 2001 CASE SUMMARY: Claimant alleged that because of respondent's carelessness and negligence, her individual account was liquidated witho

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Steven L. and Eileen A. Hartman 93-04681 Name of Respondents Linsco/Private Ledger Corp. Erwin Marine CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 9, 1993, Claimants Steven L. and Eileen A. Hartman, who appeared Pro Se, alleged that Respondents Linsco/Private Ledger Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants G. Glover, D. Glover & Gail Vince TTEES Award # vs. 93-04665 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc John Boyne REPRESENTATION For Claimants, George H. Glover, David Golver, et al. ("Claimants"), Marie F. Mercier, Esq. from the law firm of Kotin, Crabtree & Strong, located in Boston, Massachusetts.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Carol L. Colpien and Raymond Colpien 93-04658 Name of Respondent Quick and Reilly, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 9, 1993, Claimants Raymond & Carol L. Colpien, who appeared Pro Se, alleged that Respondent Quick & Reilly, Inc. failed to follow their inst

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael Powell 93-04651 Name of Respondents Desert Mountain Securities Bob Quiel Michael Quiel CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. (NASD) on November 4, 1993, Claimant Michael Powell ("Powell") alleged that in June of 1993, Respondent Michael Quiel made false promises