N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS & [n the Matter of the Arbitration Between Name of Claimant Vanderbilt Securities 95-04280 Name of Resi Otra Clearing, Inc. J.B. Oxford & Co. For Claimant Vanderbilt Securities ("Claimant") appeared Herbert M. Jacobi, Esq., New York City, New York. For Respondent Otra Clearing, Inc. ("Otra") appeared Stephen B. Wexler, Esq. of the law firm of Wexler & Burkhart located in Mitchel F

N.A.S.D. AWARD NATIONAL, ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Norman Lebedin 9504277 Name of Resnondents jJtfiric Pereman ©National Association-oi ' /-n. • .. ™, rj- Securities Dealers. Inc. Christian T. Rizzo Martin Berk All Rights Reserved filed with the National Association of Securities Dealers, Inc. on September timely"ex&tite'a'"sell order. ClaimantfteheY alleged that betwe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:Q1-01963 Pete Kohl and George Kohl, claimants vs. Protective Group Securities, Michael Flannigan anc Tom Mclntyre, respondents. ATTORNEYS Claimants appeared Pro Se, Minneapolis, MN. For Respondents Protective Group Securities and Michael Flannigan appeared Jule M. Hannaford, IV s Esq., of the firm Kelly. Hannaford & Battles, P.A., Minneapolis, MN. Respondent Tom Mclntyre appear

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS En the Matter of the Arbitration Between Name of Claimant John L. McCormick 95-04276 Name of Respondent Kemper Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 7,1995^ Oaimantied v iih the N? John L. McCormick ("Claimant"), who appeared Pro Se, alleged that Respondent Kemper Securities, ttcCcrmidk ('Cl ^ ("Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ralph W. Pieuss 95-04275 Name of Respondent M. Rimson & Co., Inc. CASE SUMMARY In a claim filed with the National Asspciation of Securities Dealers, Inc. on September 7, 1995^, Claimants Ralph W. Pieuss ("Claimant"), who appeared Pro Se, alleged that Respondent M. Rimson &J0b./Ino£- ("Respondent"), although,not licensed in the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edith Mickey 95-04274 Name of Respondents South Richmond Securities, Inc. Rickel & Associates, Inc. J.B. Oxford & Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 7, 1995 Claimant" Edith Mickey ("Claimant"), who appeared Pro Se, alleged that she held an account wit

FINAL ORDER NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between William G. Noble, Jr., Claimant, and Cohig & Associates, Inc. and Richard J. Lawrence, Respondents, In the Matter of the Arbitration Between Juanita H. Noble and William G. Noble, Jr., Claimants, and Cohig & Associates, Inc. and Richard J. Lawrence, Respondents, In the Matter of the Arbitration Between Noble I & Associates,

c NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John Elliott and Mary Mac Elliott, Claimants, -and- No. 9504270 &Bear Stearns & Co., Inc. ^ National Association of and Craig Allan Klinger, Securities Dealers, inc. Respondents. A]I R^ Reservea ' . ' -'-.T -'vA^l^ - -: ! ' . The Claimants, John Elliott and Mary Mac Elliott ("Claimants") were represented by Johiv

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant SAK Enterprises. Inc. 95-04268 Name of Respondent Otde Discount Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 7, 1995, Claimant SAK Enterprises, Inc. ("Claimant"), through its representative and President, Sydney A. Kessler, alleged that Respondent Olde Discount

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant Scottsdale Securities, Inc. Name of Respondents Bernhard and Irene Thorn and Chuck Thorn $ National Association of Securities Dealers, Inc. AH Rights Reserved NASD Arbitration No. 95-4259 REPRESENTATION For Claimant: Mark Finnegan Scottsdale Securities, Inc; St. /Louis, Missouri For Respondent: In