N.A.SJX REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05271 Otto H. Hofmann and Waltraut F. Hofmann, claimants vs. H.J. Meyers & Co. Inc., respondent. ATTORNEYS: Claimants appeared Pro Se, Millbrae, CA. For Respondent appeared Paul J. Delmo< e, Esq., of the firm Edwards, Sooy & Byron, San Diego, CA. DATE FILED: November 26, 1996. CASE SUMMARY: Claimant alleged that as a result of fraudulent statements and promi

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Harold B. Hughes, Claimant, and No. 96-05270 Brokers Investment Corp., Daniel H. Steinberg, Norman Shubert, Martin W, May, Thomas Steven Shubert, and Michael Grossman, Respondents. t. IREPRESENTAtlON OF PARTIES Claimant, Harold B. Hughes, was represented by Martin J Gofberg of Securities Arbitration Centers,! Incorporated, located in Fort La

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name Seslia Securities, Inc. Name of the Respondent US Clearing Corporation i- 01-02238 Hearing Site- Philadelphia, Pennsylvania RF.PRF.SiFNTATTON OF PARTTF.S Claimant Seslia Securities, Inc., hereinafter referred to as "Claimant", was represented by Barry R. Hill, Esq., Hill & Fischer, P.C., Syracuse, New York. Respondent US Clearing Corporation, hereinafter referre

ORDER/AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Bancstar, Inc., and Its Subsidiary Banks, Bank of the Leadbelt, Bank of the Bootheel and Bancstar One (Formerly First National Bank of Callaway County) and 96-05268 Name of Respondent First St. Louis Securities, Inc. REPRESENTATION OF PARTIES Bancstar, Inc., and Its Subsidiary Banks, Bank of the Leadbelt, Bank of t

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05267 A.G. Edwards & Sons, Inc., claimant v. Michael Whalen, respondent. ATTORNEYS: For Claimant Appeared Norman S. Buckvar, Esq. - St. Louis MO. Respondent appeared Pro Se - Hingham, MA. DATE FILED: 11/26/96 CASE SUMMARY: Claimant alleged failure to reimburse for educational expenses pursuant to the Sales Assistant Agreement and Supplementary Training

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-05265 Ken Roper, claimant v. Everen Securities and Steve Laden, respondents. ATTORNEYS: For Claimant Gary M. Fuller, Esq. - Reno, NV. For Respondents Don Andrews, Esq. in-house counsel - Chicago, IL. DATE FILED: November 26, 1996. CASE SUMMARY: Claimant alleged lack of suitability, breach of fiduciary duty, negligence and failure to execute in the

NASD REGULATION, INC. AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Hansel M. DeBartolo; H.M. DeBartolo, Jr. MDSC Pension Plan & Trust 96-05261 Name of Respondents Tucker Anthony Incorporated; and Patrick Yun REPRESENTATION For Claimants: Hansel M. DeBartolo ("DeBartolo") and the H.M. DeBartolo, Jr. MDSC Pension Plan & Trust ("Trust") were represented by Paul J. Sussm

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05259 Abraham Branitzky, claimant vs. Patterson Travis, Inc. and Robert E. Lee, respondents. ATTORNEYS: For Claimant appeared James E. Beckley, Esq., of the law firm James E. Beckley & Associates, Wheaton, IL. For Respondents appeared Anthony J. Morano, Director of Compliance, New York, NY. DATE FILED: November 26, 1996. CASE SUMMARY: Claimant alleged frau

,A AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Laura Nell Mitchell, Claimant, and No. 96-05256 Merrill Lynch Pierce Fenner & Smith, Inc., J. Michael Sealy and Joanne G. Sealy, Respondents. REPRESENTATION OF PARTIES Claimant, Laura Nell Mitchell, was represented by Zeblin G. Pearson, Esquire of Dallas, Texas. Respondents, J.Michael Sealy and Joanne G. Sealy appeared pro se in these proceed

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between PaulR. Eberle v. Arbitration No. 96-05253 Name of Respondents John Puglisi, Herman Epstein, and Investors Associates, Inc. REPRESENTATION For Claimant: InProPer Cbl Topanga, California For Respondent: M. David Sayid, Esq; t- e Sayid and Associates Hackensack, New Jersey CASE INFORMATION Statement of Claim filed: November 26, 199