N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Judith A. Lifson and KaJman A, Lifson 95-03812 Name of Respondent Donaldson Lufkin & Jenrette Securities CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 8, 1995, claimants Judith A. Lifson and Kaiman A. Lifson, through their representative and counsel, S. Grant Dorfman, Esq., o

AWARD NASD REGULATION, INT.. OFFICE OF DISPUTE RESOLUTION Arhiiration No. 95-03805 Name of Respondents Ion BaroL Consumer Resources International, Inc. Nevada Computer Supply Co.. Inc.. Voice & Pager West, Inc.. and Michael Bertie REPRESENTATION For Claimant: For Respondents Ion Baroi, Nevada Computer Supply Co.. I and Voice & Pager West. Inc.: nc.. Mark T. Drooks. Esq. Bird, Marclla, Boxer. Wolpert & Mat/ Los

\< NASD Arbitration No. 95-03804 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants) Khosrow Shahroozi Name of Respondent^ Kennedy, Cabot & Company REPRESENTATION For Claimant: Khosrow Shahroozi, Pro Se Mission Viejo, California For Respondent: George H. Kupper, Esq. Kennedy, Cabot & Company Beverly Hills, California CASE INFORMATION Statement of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS © National Association of Securities Dealers. Inc. In the Matter of the Arbitration Between Ail Rights Reserved II. Joseph Tedori Claimant 9503803 and First Hanover Securities, Inc.. Respondent-Third Party Claimant and Walter J. Marino Third Party Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 7. 1995. Claim

N.A.S D AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard V. Nguyen 95-03801 Name of Respondent Providential Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 7, 1995, Claimant Richard V. Nguyen ("Claimant"), who appeared Pro Se, alleged that Respondent Providential Securities, Inc. ("Respondent"), withheld commis

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant A. Kent Johnson and 95-03796 Name of Respondent Joseph Roberts & Co., Inc. Michael Knight REPRESENTATION OF PARTIES A, Kent Johnson ("Claimant") appeared pro se. Joseph Roberts & Co., Inc. ("Respondent Joseph Roberts") and Michael Knight ("Respondent Knight")(collectively as "Respondents") were represented by Paul Bazil,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of fr^ P.laimantg Pflgfr Timber- John and Joann Vaughan; and, William C. Ferrill A.G. Edwards & Sons, Inc.; Josephthal & Co., Inc.; and SG Cowen Securities Corp. Hiring Site" Dallas, Texas RFPP^< 2F r TVTATTm\[ OF Claimants John and Joann Vaughan ("Vaughn") and William C. Ferrill ("Ferri!!"), hereinafter collectively referred to as "Claimants," were repre

NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Laura Pickering and Ila Poague, Individually, and as Co-Trustees of the Poague Revocable Trust Arbitration No. 95-03795 Name of Respondent(s) Dain Bosworth Incorporated Emilio Gallo REPRESENTATION For Claimants: Robert L. Ackerman, Esq., Ackerman, DeWenter & Huntsberger, P.C., Springfield, Oregon For Respondents: Mark A. T

NAS!) REGULATION AWARD In the Matter of the Arbitration Between Name ^LQafoiaru George W Fogleinan 95-03791 Name of Respondent Christopher Testerman REPRESENTATION. For claimant George W. Fogleman ("claimant") appeared John F. Bloss, Fsq. of the law offices Clark. Wharton & Berry located in Greensboro. North Carolina. For respondent Christopher Testerman ("respondent") appeared Michael Q. Carey, Esq. of the law offices Carey & Associates loc

AWARD NASD REGULATION, INC, In the Matter of the Arbitration Between Name of Claimant Mary Cassella 95-03783 Name of Respondent Smith Barney, Inc. (n/k/a Salomon Smith Barney, Inc.) NASD Case No. REPRESENTATION Claimant Mary Cassella ("Claimant") was represented by Jeffrey L. Liddie, Esq. and Christopher C. Panarella, Esq. of the law firm of Liddie & Robinson, New York, NY. Respondent Smith Barney, Inc. ("Respondent") was represented by