AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Betty Richheimer, individually and as trustee of the Robert C. Richheimer Trust C, and the Robert C. Richheimer Trust C 95-06072 Name of Respondents Stifel, Nicoiaus & Co., Inc.; Christopher J. Whybrow; Donald W. Meyer REPRESENTATION For Claimants: Betty Richheimer ("Richheimer"), individually and as trustee of the Rob

N.A.S.D. AWARD , i NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Ciaimant(s) Kim D. & Betty NG 95-06061 Name of Respondents! Rickel & Associates, Inc. Richard Yu REPRESENTATION For Claimants Kim D. and Betty NG ("Claimants") appeared Ralph A. Gant, Esq., a sole practitioner located in New York, New York. For Respondent Rickel & Associates, Inc. ("Rickel") appeared Vincent P. Sarnatora, Se

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Nicholas Caricato 95-06052 Name of Respondents Smith Barney, Inc. Rickel & Associates, Inc. Don Troiano REPRESENTATION Claimant Nicholas Caricato ("Claimant") appeared pro se, For Respondent Smith Barney, Inc. ("Smith Barney") appeared Ann Parry, Esq., Associate General Counsel for Smith Barney, Inc. For Respondent Rickel & Associates, Inc. ("Ri

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Douglas K. Tucker 95-06049 Name of Respondents H. J. Meyers & Co., Inc. Andrew J, Gentry CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 28, 1995, Claimant Douglas K. Tucker ("Claimant"), who appeared Pro Se, alleged that Respondent Andrew J. Gentry ("Gentry") and H.J. Mey

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Darlene F. Gillespie v. Name of Respondents Westmark Securities Corporation, Wedbush Morgan Securities, Inc., Ronald D. Catto, Anthony J. Rodgers, Rosemary Silva, and Harry Oei Arbitration No. 95-06048 REPRESENTATION For Claimant: For Respondents: Westmark Securities Corporation Ronald D. Catto Anthony J. Rodgers Rosemary Silva

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Ronald D. Bell, Claimant, and No. 95-06043 MMAR Group, Inc., Cory Miner, Paul Brown, Tracy Adams, Sean Dobson, and Jesse Chabolla, Respondents, REPRESENTATION OF PARTIES Claimant Ronald D. Bell was represented by John V. Mastriani, Esquire, of Houston, Texas. Respondents MMAR Group, Inc., Cory Miner, and Paul Brown were represented by Richard P.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Frank D. Araco and Gary J. Giordano, (Claimants) vs. Continental Broker-Dealer Corp., James R. Pimonte, and Thomas Francis, (Respondents) Case Number: 01-01127 Hearing Site: New York, New York. REPRESENTATION OF PARTIES Claimants, Frank D. Araco ("Araco") and Gary J. Giordano ("Giordano"), hereinafter collectively referred to as "Claimants": G. Martin Meyers, Esq., Denville, N

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Marta Klufas 95-06034 Name of Respondents Fahnestock & Co., Inc. Reich & Co., Inc. Christine G. Hasslach REPRESENTATION For Claimant Marta Klufas ("Klufas") appeared John V. McCambley, Esq., a sole practitioner with offices located in Wyckoff, New Jersey. For Respondent Fahnestock & Co., Inc. ("Fahnestock") appeared Eric J. Shames, Esq., in-house

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Tom F. Trautman, individually and as custodian for his IRA account & N. Jane Gallivan Trautman and 95-06031 Name of Respondent Olde Discount Corporation Brian W. Spencer REPRESENTATION OF PARTIES Tom F. Trautman, individually and as custodian for his IRA account & N. Jane Gallivan Trautman ("Claimants") were represented

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Jack C, and Margaret C. Dillon 95-06011 Name of Respondent(s) D.E. Frey & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 29, 1995 Claimants Jack C. and Margaret C. Dillon ("Claimants"), through their representative, Gordon Dihle, Esq., of Dihle & Co., Minot, ND,