AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between ft ame of Claimant Richard D. Hammond and • 96-04794 Name of Respondent Kirkpatrick, Pettis,Smith, Polian, Inc. REPRESENTATION OF PARTIES Richard D. Hammond ("Claimant") was represented by Bruce A. Hubbard, Esq., Hubbard & Johnson, P,C., Denver, Colorado* Kirkpatrick, Pettis, Smith, Polian, Inc. ("Respondent") was represented by James M. Bausch,

NASD REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dennis M. Keller 96-04789 < Name of Respondents First Hanover Securities, Inc. Gregory Ricca CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on October 28, 1996 Dennis M. Keller ("claimant"), who appeared Pro Se, alleged that he was a Vietnam War veteran on a di

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Patsy M. Lloyd 96-04788 Name of Respondents George E. Brooks George E. Brooks & Associates Morehead Investment Advisors, Inc. REPRESENTATION For Claimant Patsy M. Lloyd, ("claimant") appeared J. Mitchell Aberman, Esq., James, McElroy & Diehl, Charlotte, N,C. Respondents George E. Brooks ("Brooks"), George E. Brooks & Ass

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-04787 Henry J. Langen, claimant v. Corporate Securities Group, Inc. and Gary Heller, respondents. ATTORNEYS: Claimant appeared Pro Se. - St. Augustine, FL. For Respondent Corporate Securities Group, Inc. appeared Gregory Tendrich, Esq. in-house counsel Boca Raton, FL. Respondent Gary Heller did not appear. DATE FILED: October 28, 1996. CASE SUMMARY: Cl

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECUM1TES DEALERS REGULATION, INC- In the Matter of the Arbitration Between Name of Claimant Jacob Shurkin Name of Respondent Dino A, Villasenor J.B. Oxford & Co. 96-04782 REPRESENTATION Claimant Jacob Shurkin ("Claimant") appeared Pro Se. Respondents Dino A. Villasenor ("Viliasenor") and J.B. Oxford & Co. ("JBOC") were represented by Scon G. Monson, Esq., Associate General Counsel, J.B.

In the Matter of the Arbitration Between o Climants Donald A. Octeau and Jeanne C. Octeau vs. Name of Respondents Koegier Morgan & Company, Inc. Nationwide Advisory Services Nationwide Life Insurance Company Walnut Street Securities Domenic P« Ferrante Marlene McKenna Case No, 9&04779 For Claimants DonaW A. Octeau and Jeanne C. Octeau ("Claimants'') appeared Bruce S. Schaeffer, Esq. a sole practitioner with law offices located in

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Kristina M. and Grace M. Cunetta 96-04778 Name of Respondent GKN Securities Corp. CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on October 28, 1996, claimants Kristina and Grace Cunetta ("claimants"), through their attorney and counsel Bruce Lamchick a sole practitioner locat

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Dr. David Thomas and 01-02197 Louisville, Kentucky Names of Respondents UBS Financial Services, Inc. David R. Meredith James R. Brown Nature of the Dispute; Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Dr. David Thomas ("Claimant") was represented by Michael A, Valenti, Esq., Valenti, Hanley & Crooks, PLLC, L

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04773 Wedbush Morgan Securities, claimant vs. Gregory Maggipinto and Estella Maggipinto, respondents. ATTORNEYS: Claimant appeared through its in-house counsel, Armen Sebastian, Esq., Los Angeles, CA. Respondents appeared Pro Se, through Gregory Maggipinto, San Jose, CA. DATE FILED: October 28, 1996. CASE SUMMARY: Claimant alleged that respondents opened a

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Mutter of the Arbitration Between Name of Claimant Hruce Uundcll. and Claire Hundelt and 96-04772 \urnc of Respondents Timothy O'Lcary. and Oppenheimer & Co.. Inc. KKPKESENTAT1ON OF PARTIES Bruce Hundeh. and CInirc Ihmdelt ("Claimants") were represented by Mark H. I.evison. l/.sq.. Polsinelli. White. Vardcman & Shalion. St. Louis. Missouri. Timothy f^jem^^ Oppenheime