N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James S. and Susan A. Thompson 95-05741 Name of Respondent Investors Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 6, 1995 Claimants James S. and Susan A. Thompson ("Claimants"), who appeared Pro Se, alleged that Respondent Investors Associates, Inc., ("Res

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Nancy J. Shaw 95-05740 Name of Respondents PaineWebber, Inc. Donald J. Busto CASE SUMMARY In a case filed with the NationaJ Association of Securities Dealers Regulation, Inc. on November 14, 1995 claimant Nancy J. Shaw ("Shaw"), who appeared Pro Se, alleged that respondents Donald J. Busto ("Busto") and PaineWebber, Inc, ("

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of Claimant: Deborah Damis CaseNo: 01-1112 Names of Respondents: Ohio Savings Securities, Inc. and Robert Dillon Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Claimant Deborah Damis ("Damis"), hereinafter referred to as "Claimant": Alan Foxman, Esq., Boca Raton, Florida. For Respondents Ohio Savings Securities, Inc. ("OSS") and Robert

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Louis F. Carolla 95-05739 Name of Respondents Kevin Shaughnessy Penn Capital Financial Services Third Party Respondent Donald L. Norman REPRESENTATION Claimant Louis F. Carolla ("Claimant") appeared pro se. Respondent Kevin Shaughnessy ("Shaughnessy") appeared pro se. Respondent Penn Capi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Philemon J. and Cecelia E. Marcoux 95-05737 Name of Respondents A.G. Edwards & Sons, Inc. John McLendon REPRESENTATION For claimants Philemon J. and Cecelia E. Marcoux ("claimants") appeared Peter Marcoux. For respondents A.G. Edwards & Sons, Inc. ("Edwards") and John McLendon ("McLendon" appeared in-house counsel, Hope Jo

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Tracey Herbranson, Claimant, and No. 95-05730 Smith Barney Shearson, Inc. and Jeffrey S. Stone Respondents, REPRESENTATION OF PARTIES Claimant Tracey Herbranson was represented by Tailim Song, Esquire of Hill Gilstrap, located in Arlington, Texas. Respondent Jeffrey S. Stone was pro se in correspondence, but was not represented and did not

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Andrew M. Welch and Leesa M. Welch and 95-05722 Name of Respondent J.C. Bradford & Co. REPRESENTATION OF PARTIES Andrew M. Welch and Leesa M. Welch ("Claimants") were represented by Jules L. Federman, Investor's Rights Association, Inc., Santa Barbara, California. J.C. Bradford & Co. ("Respondent") was represented by Linda G. Wi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael and Patricia Round 95-05716 Name of Respondents Smith Barney n/k/a Smith Barney Shearson, Inc. Marshall C. McClean CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 6, 1995, Claimants Michael and Patricia Round ("Claimant"), who appeared Pro Se, alleged that Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Albert, Maria and Arlene Sadek 95-05710 Name of Respondents William King CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 12, 1995, Claimants Albert, Maria and Arlene Sadek, who appeared Pro Se, alleged through Albert Sadek ("A. Sadek"), that Respondent William King ("King"),

NASD Regulation, Inc. Award OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant(s) Paul A. Mita 95-05704 Name of Respondent(s) Barron Chase Securities, Inc. Ty Edward Rodriguez Paul Giarmoleo First Montauk Securities Corp. Global Int'l Enterprises d/b/a Robert T. Kirk Paul Deperino REPRESENTATION For Claimant, Paul A. Mita ("Mita"), appeared George V. Cornell, III, Esq., located in Staten Is