N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Arman Ajamian 95-04-181 Name ot Respondent Mayer & Schweitzer, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August M, l99$Claimant Arman Ajamian ("Claimant"), who appeared Pro Se, alleged that Respondent Mayer and Sdiwcit^ft ("Respondent") overcharged him for the sale of his In

N.A.S.D. AWARD ,< NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stanley Kozlowski 95-04179 Name of Respondents Sutro & Co, Incorporated James V. Cuff, Jr. REPRESENTATION For Claimant appeared Robert A. Dean, Esq. of The Dean Law Firm located on Grand Island, New York. For Respondents appeared David W. Studley, Esq. located in San Francisco, California. CASE INFORMATION Th

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant M.S. Farrell&Co. ; Inc. 95-04177 Name of Respondent Edward Grey REPRESENTATION For Claimant, M.S. Farrell & Co., Inc. ("claimant"), appeared James L. Rothenberg, Esq., New York, New York. Respondent, Edward Grey, ("respondent") appeared pro se. CASE INFORMATION Statement of Claim filed: August 30, 1995. Amended Stat

rr N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Irwin K. Kline 95-04174 Name of Respondents Gilford Securities Inc. Martin J. Rabovich REPRESENTATION Claimant Irwin K. Kline ("Claimant") was represented by Jeffrey G. Pittell, Esq., New York, NY. Respondents Gilford Securities, Inc. ("Gilford") and Martin J. Rabovich ("Rabovich") were repres

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Harvey J. Young and 95-04170 Name of Resnondent .** : 'irv of Securities America, Inc. Allen R. Montgomery ;iKt...: J K^crVvv. REPRESENTATION OF PARTIES Harvey J. Young ("Claimant") was represented by^Alexandra Coulter Cross, Esq., Harwell flowarduug -{ 1.4^^ Gabbert & Manner, Nashville, Tennessee. . ' ^

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Irene Michaels, Claimant, and No. 95-04168 Haskell M. Israel, and Strasbourger Pearson Tulcin Wolff, Inc., Respondents. REPRESENTATION OF PARTIES For Claimant: Irene Michaels ("Michaels") was represented by Thomas J. Ramsdell* Torshen Spreyer & Garmisa Ltd., located in Chicago, Illinois. >rsh a. ^u For Respondent: Haskell M. Israel ("Israel") ap

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Terry Lee and Marcia Tapp, The Top Shop, Inc. and 01-01940 Phoenix, Arizona Name of Respondent Prudential Securities, Inc. REPRESENTATION OF PARTIES Terry Lee and Marcia Tapp, and The Top Shop, Inc. ("Claimants") were represented by Jon A. Titus, Esq. and David R. Jordan, Esq., Titus, Brueckner & Berry, P.C., Scottsdale, Arizona. Prudential Sec

Arbitration & Mediation National Association of Securities Dealers, Inc. * NASD Financial Center * 33 Whitehall Street * New York, NY 10004 * Fax 212-858-4429 Washington DC Satellite office at: 1735 K Street, NW - 10th Floor * Washington, DC 20006 * Fax 202-728-6952 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Murray Fisherman 95-04165 Name of Respondents Dean Witter Reynolds

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Louise Pope 95-03876 Name of Respondent Kemper Securities, Inc. n/k/a Everen Securities Anthony S. Rockwell CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 10, 1995, Claimant Louise Pope, ("Claimant") who appeared Pro Se, alleged that Respondents Kemper Securities, Inc. ("Ke

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Esther Williams 95-03875 Name of Respondents Schroder Wertheim & Co. Inc. RAS Securities Corporation Robert A. Schneider Steven Guzafsky REPRESENTATION For claimant Esther Williams ("claimant") appeared Daniel H. Weinet, Esq., of the law firm of Hughes Hubbard & Reed LLP, located in New York, New York, and AJan S, Hock,