N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kenneth W. Cauwet 96-02148 Name of Respondents Prudential Securities, Inc. Leland Levy CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 15,' Claimant, Kenneth W. Cauwet ("Claimant"), who appeared Pro Se, alleged thatin August he consulted Respondent Leland Levy ("Levy"), an empl

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Anthony lannolo 96-02138 Name of Respondents Pacific Brokerage Services, Inc. James R. Kruger CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on May 17, 1996, claimant Anthony lannolo ("claimant"), who appeared Pro Se, alleged that on May 17, 1995 he

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Melva J. Lack and Dawn D. Buckley, Claimants, and No. 96-02135 Signal Securities, Inc. and Jerry K. Lack, Respondents. REPRESENTATION OF PARTIES Claimants, Melva J. Lack and Dawn D. Buckley, were represented by Steven K. Terry, Esquire of Terry & Newsom, L.L.P., located in Dallas, Texas. Respondent, Signal Securities, Inc., was represented by Robert

AWARD NASD Regulation, Inc. In the matter of the Arbitration Between Name of Claimant { s). Robert Parker La Deane Parker Arbitration No. 96-02131 Name of Respondent(s) Annandale Securities, Inc. Bruce G. Clark Michael M. Markow REPRESENTATION For Claimants: Timothy A. Canning, Esq. , The Sapiro Law Firm, San Francisco, California For Respondent Annandale Securities, Inc.: Mark Anderson, Annandale Securities, Inc., Los An

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Arthur Robert Frederick Trust Dated April 1,199 1 Arthur Frederick, Trustee v. Arbitration No. 96-02128 Name of Respondents A.G. Edwards & Sons, Inc. Paul Spitzer Brian Crane _, , REPRESENTATION For Claimant: Ronald Marroru Esq., San Diego. California For Respondents A.G. Edwards & Sons, Inc., and Paul Spitxer

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Steven Roberts and 96-02127 Name of Respondent Prudential Securities, Inc. Thomas Sachs REPRESENTATION OF PARTIES Steven Roberts ("Claimant") was represented by Joseph \V. Anthony, Esq. And Steven M. Phillips, Esq.. Fruth & Anthony, P.A., Minneapolis. Minnesota. Prudential Securities. Inc. ("Respondent Prudential") and Thoma

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants P.ase Number- 01-02082 James A. and Betty L. Denman, Trustees of Master Case the Denman Family Trust James A. Denman, IRA Betty L. Denman, IRA William A. and Mary Anne Denman, Trustees of the William and Mary Anne Denman Trust B. Louise DiDay Names of the Respondents Hearing Site- Pittsburgh, PA IAC Securities, Inc. John E. Prokop , \ T

JUN. 9.1999 9=30ftM NASD REGULATION FL NO.977 P.11 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Weoceslao Gonzaies NASD CASE NO. 96-02126 Name of Respondents Raymond James & Associates, Inc. and Bill J. Short, n REPRESENTATION For Claimant: James L. Karl Q» Esq. of James Karl & Associates, Marco Island, Florida. For Respondents: Paul L. Matecki, Esq., Corporate Counse

N.A.SJX REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Joseph Welsh Jerri Welsh Juke Box, Inc. 96-02124 Name of Respondents Chatfield Dean & Co., Inc. G-V Capital Corp. Bismark A. Bad ilia Richard A. Frueh Russell Osborn Lawrence E. Kaplan REPRESENTATION OF PARTIES For Claimants: Timothy A. Canning, Esq., The Sapiro Law Firm, San Francisco,

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLITION In the matter of the Arbitration Between Name of Claimants) Robert Parker La Deane Parker v. Arbitration No. 96-02119 Name of Respondent(s) Brokers Investment Corporation Martin W. May Michael M. Markow Daniel H. Steinberg Bruce G. Clark REPRESENTATION For Claimants; Timothy A. Canning, Esq. The Sapiro Law Firm San Francisco, California For Respondents Brok