NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Gerald J. and Beverly J. Zukerman, and the Gerald and Beverly Estate __ Revocable Trust, Claimants, v. 95-03779 OLDE Discount Corporation, Respondent. REPRESENTATION OF PARTIES Gerald J. and Beverly J. Zukerman, and the Gerald and Beverly Estate Revocable Trust ("Claimants") appeared on their own behalf. OLDE Discount Corporation ("Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants) Scott R. Trimingham and Donna I, Trimingham NASD Arbitration No. 95-3776 Name of Respondents) IDS Financial Services, Inc., American Express Financial Advisors, and Edward T. Kelly For Claimant: For Respondent: REPRESENTATION Scott R. Trimingham, Pro Se Redondo Beach, California Samuel Y. Edgerton Einhor

o N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Teh Y. Hu and Hong Ha 95-03775 Name of Respondent(s) Empire State Securities Ann Ling Shih REPRESENTATION For Claimants Teh Y. Hu and Hong Hu ("Claimants") appeared Martin Shark, Esq. a sole practitioner located in Hackensack, New Jersey. For Respondent Empire State Securities (""Empire") appeared John E. MacDonald,

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Lucy Becker and 95-03773 Names of Respondents PaineWebber, Incorporated and Philip Evans REPRESENTATION OF PARTIES Lucy Becker ("Claimant") was represented by Michael D. Napoli, Esq. of Clements, O'Neill, Pierce & Nickens located in Houston, TX. PaineWebber, Inc. and Philip Evans ("Respondent") were represented by Andrew

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Milton Lee Dobison 9503770 Name of Resnondents Barren Chase Securities, inc. David Kleber Rodney Declay Sailor \\\ ;••_;..-.:_ ~:,;;r,~~ Joseph D. Cornwell CASE SUMMARY In a case filed with the National Association of Securities Dealers, Inc. on August 4, 1995, claimant Milton Lee Dobison, who appeared Pro Se, alleged t

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Margaret Reid, L.L.C., Audrey Reid, Kevin D. Reid, Scott E. Reid, Norman Reid and Cynthia L. Reid and 01-01929 Phoenix, Arizona Name of Respondent Dain Rauscher Incorporated n/k/a RBC Dain Rauscher, Inc. REPRESENTATION OF PARTIES Margaret Reid, L.L.C., Audrey Reid, Kevin D. Reid, Scott E. Reid, ("Claimants") were represented by Robert D. Mi

AWARD NASD REGULATION. INC., OFFICE OF IMS PITH RESOLUTION Percv Garcia Name of Respondent Brokers Investment Corporation and Bany Ray REPRESENTATION For Claimant: For Respondent: No Appearance CASE INFORMATION August 1. Claimants Submission Agreement MgneJ: June 8, 1 HEARING INFORMATION Lt>s Angeles. California C ASF SUMMARY Claimant alleged thai Respondents made misrepresentation*;, omissions and acted irauduiemly in connec

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^) Joseph and Florence Kassar 95-03767 Name of Respondent^ Reich < & Co., Inc. Reuben L. Sushman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 3, 1995, Claimants Joseph and Florence Kassar, who appeared Pro Se, alleged that Respondent Reich & Co., Inc., through its registere

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between or'. Claimants Peter S. and Margaret E. Copplestone Q5-03766 f Respondent L.C. Wegard & Co. Inc. CASE SUMIVtARY In a claim filed with the National Association of Securities Dealers, Inc. on August 3, 1994, Claimants Peter S, and Margaret E. Copplestone ("Claimants"), who appeared Pro Se, alleged that Respondent L.C. Wegard & Co, Inc. ("LCWCI"),

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Jon B. Klima v. Arbitration No. 95-03765 Name of Respondent Kevin McCarthy, Craig Cunningham. Keith Hale, Paul Courtright, Brian Moore and Atlanta-One, Inc. CASE INFORMATION Statement of Claim received: August 2, 1995 Claimant's Submission Agreement signed: July 28, 1995 Stipulation for Entry of Judgment filed: Nove