N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paul J. Pantano 92-03514 Name of Respondents J.W. Gam and Associates, Inc. Y. Alex Hart REPRESENTATION For Claimant Paul J. Pantano ("Claimant"): James E. Carney, Esq. of the law firm of Carney & Carney For Respondent Y. Alex Hart ("Hart"): William J. Bethune, Esq. of the law firm of Marsh Fleischer & Quiggle Respon

FINAL ORDER NASD Regulation, Inc. In the Matter of the Arbitration Between Berardo Ali, Claimant and Counter-Respondent, No. 92-03513 v. Quick & Reilly, Inc., Respondent. Counter-Claimant, and Third-Party Claimant, v. Berliana Ali, Third-Party Respondent. REPRESENTATION OF PARTIES Claimant and Counter-Respondent Berardo Ali ("Claimant") appeared pro se. Respondent, Counter-Claimant, and Third-Party Claimant Quick & Reilly ("Respo

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ray Veldman 92-03511 Name of Respondents Prudential Securities Incorporated; Krish Raman; Mark Tabit REPRESENTATION Claimant Ray Veldman was represented by Bonnie E. Spencer, Esq. and Tom Hunt, Esq. of Jenkins & Gilchrist in Houston, Texas. Respondents Prudential Securities Incorporated, Krish Raman and Mark Tabit were

N.A.S.D. AV/ARD N, .TIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert H. Cook, Jr. 92-03503 tjame of Respondents Prudential Securities, Inc. Richard Kaneb Scott B. Morton For Claimant, Robert H. Cook, Jr. ("Cook"): George H. Moss, Esq., of Moss, Henderson, Van Gassbeck, Blanton & Koval, P.A. For Respondents, Prudential Securities, Inc. ( M Prudential H ), Richard Ka

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Leila C. Jenkins, (Claimant) vs. Nutmeg Securities, Ltd. and Matthew K. Rochlin, (Respondents) Case Number: 01-02480 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Leila C. Jenkins, hereinafter referred to as "Claimant", appeared pro se. Previously represented by: Richard C. Fooshee, Esq., a sole practitioner, New York, NY. Respondents, Nutmeg Securit

.-.WASP In -r.e matter of the Arbitration Between .Jame ^f C'laimanc ! s ; Robert L. Sricxman NASD Arbitration No. 92-03502 Name r>£ Respondent; ( a > Bear Stearns & Co . , Inc . Bernard Heliport For Claimant: Jeff Dennis Ferentz, Esq. and Michael Huberman, Esq., Greenbaum and Ferentz, Newport Beach, California For Respondents: Philip McLeod, Esq., Keesal, Young & Logan, Long Beach, California Statement of Claim filed: October 8,

FJ2L1C N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NanTe_ofClaiinants James and Suzanne Sears 92-03501 Name of Respondents Ribband Brown & Co., Inc. Michael S. Blank CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October IS, 1992, Claimants James A. and Suzanne M. Sean, who appeared Pro Se, alleged that they purchased 15,000 shares of A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Names of Claimants Richard and Jean Foley No. 92-03500 Names of Respondents Shearson Lehman Brothers, Inc. and David Jacobson REPRESENTATION OF PARTIES Claimants, Richard and Jean Foley appeared Pro Se. Respondents, Shearson Lehman Brothers and David Jacobson were represented by Samuel A. Turvey, Esq., Shearson Lehman Brothers, Ne

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name or Claimant Louis Shaw and 92-03497 Name of Respondents Shearson Lehman Brothers. Inc. ,md Thomas Allev REPRESENTATION OF PARTIES Louis Shaw ("Claimant") was represented by Michael W. Lillie. Esq., Englewood. Colorado. Shearson Lehman Brothers. Inc. and Thomas Alley ("Respondents") were represented by Charles F. Brega, Esq. of Br

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Karen S. Ungar NASD #92-03496 AWARD vs. Richard E. Hanson and David Allard REPRESENTATION For Claimant: Carroll R. Melton, Arbitration Consultants, Inc., Calabasas, California For Respondents: Douglas B. Martin, Esq., San Francisco, California Statement of Claim filed: October 15, 1992 Claimant's Submission Agreement signed: October