N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Brent Dowdle 96-01716 Name of Respondent Investors Associates Incorporated CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 19, 1996, Claimant Brent Dowdle ("Claimant"), who appeared Pro Se, alleged that Respondent Investors Associates Incorporated ("IAI") was negligent in the sup

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimanj Brent Dowdle 96-01715 Name of Respondent The Harriman Group, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 19, 1996, Claimant Brent Dowdle ("Claimant"), who appeared Pro Se, alleged that Respondent The Hamrnan Group, Inc. ("Respondent"), through its stockbroker, George Cas

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Joel Bernstein 96-01711 Name of Respondent Doft &Co. f Inc. REPRESENTATION For Joel Bernstein ("Claimant") appeared Hayward Pressman, Esq. and Diane Sammarco, Esq., of the law firm of Pressman & Associates and Robert Trien, Esq. of the law firm of Harvis & Trien, L.L.P. located in New York, New York. For Doft & Co., Inc. ("Respondent") appeared

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants SouthTrust Securities, Inc. Timothy W. Bembry 96-01708 Name of Respondents George Michael Stripling Patricia Tobin CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on April 19, 1996, claimant SouthTrust Securities, Inc. ("SouthTrust"), through its representative and counsel J. P

Award NASD Dispute Resolution BINDER COPY In the Matter of the Arbitration Between: John Mudgett and Barbara Mudgett, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Thomas A. Karren, Respondents Case Number: 01-02046 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES For Claimants: James E. Bartels, Esq. Meyer & Wyse Portland, Oregon For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc.: Thomas C. San

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Seymour Werner 96-01707 Name of Respondent Prime Charter, Ltd. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 29, 19%, claimant Seymour Weiner ("claimant"), who appeared Pro Se, alleged that respondent Prime Charter, LTD. ("respondent") through its representative, Bradford S. Be

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Halpert and Company, Inc. 96-01706 Name of Respondent Neil Berman CASE SUMMARY In a claim filed with the National Association of Securities Dealer, Inc. on April 19, 1996, claimant Halpert and Company, Inc, ("claimant"), through its representative, Carl F. Schoeppl, Esq. of Mager & Associates, P.A., located in Fort Lauderdale,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS fn the Matter of the Arbitration Between Name of Claimant Richard H. O'Keefe Name of Respondent Olde Discount Corporation 96-01705 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 19, 1996, 'Claimant Richard H. O'Keefe ("Claimant"), who appeared Pro Se, alleged that Respondent Olde Discount Corporation ("Olde"), did not timely place his

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Udaya Jagirdar, Sadhana Jagirdar and Peter Huber v. Name of Respondents Smith Barney, Inc. and Harris Upham & Co., Inc. Arbitration No. 96-01703 REPRESENTATION For Claimants: For Respondents: Bruce R. Safran, Esq. Law Offices of Safran & Godino Tarzana, California Harry T. Walters, Esq. Smith Barney, In

N.A.S.D. AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Randall C. Monroe & Michelle R. Monroe 96-01701 Name of Respondents Eric Sikes; Joseph Roberts & Company Inc. REPRESENTATION For Claimant: Randall C. Monroe and Michelle R. Monroe ("Monroe") were represented by Stephen A. Kolodziej, Esq. of Clark & DeGrand, located in Chicago, Illinois. For Respondents: Joseph Rob