AWARD NARD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between G. John Sevens - Claimant, No. 95-04000 Robert W Koch and Daniel F. Grasso Respondents. REPRESENTATION OF PARTIES Claimant G John Stevens ("Claimant") was represented by Marc E. Thomas, Esq. of Bendure & Thomas located in Detroit, Michigan. Respondent Robert W, Koch ("Koch") and Daniel F. Grasso ("Grasso") (collectively referred to as "R

N.A.S.D. AWARD & National Association of Securities Dealers, Inc. All Rights Reserved Claimant, Miller, Johnson & Kuehn, Inc. ("Claimant") was represented by Philip T. Colton, Esq. of Maun & Simon located in Minneapolis, MN. Claimant Miller, Johnson & Kuehn, Inc. ("Claimant") Submission Agreement'was signed by David B. Johnson, Executive Vice President. NASD AWARD Pi C A S E S - Y Claimant, alleged that Respondent, it former emplo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Allen J. Nogee 95-03997 Olde Discount Corporation Sean R. Waltz CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 21, 1995 Claimant Allen J. Nogee ("Claimant"), who appeared Pro Se, alleged that it held account # 023-14636 with Respondent Olde Discount Corporation ("GDC"), and his

iENT BY: 10-23-98 ; 9:21AM ;NASD ARBITRATION DPT- 12122085165;# 2f 5 NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION ARBITRATION AWARD NASD REGULATION. INC. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Nqme of Claimant Craig S. Crycr Name of Respondent Drake Capital Securities, Inc. REPRESENTATION For Claimant: For Respondent: CASE INFORMATION Statement of Claim filed: Claimant's Submission

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between James Stoyanoff, and Jamie Griffith. Claimants. No. 95-03994 Texas Capital Securities. Inc.. and Joseph C. Klapesky, Respondents. REPRESENTATION OF PARTIES James Stoyanoff, and Jamie Griffith ("Claimants") appeared on their own behalf. Texas Capital Corporation, Inc., and Joseph C. Klapesky ("Respondents") were represented by Don Katz

N.A.S.D. FINAL ORDER NATIONAL ASSOCIATION OF SKCURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) (irace Schwartz 95-03993 Name_of Respondents) Halpert, Oherst and Company Roger Farquhar REPRESENTATION Claimant Grace Schwartz appeared Pro Se. For Respondent Halpert & Co., Inc. appeared Mari-Anne Pisarri, Esq. of Pickard and Djinis, a law firm located in Washington, D.C. Respondent Rodger W. Farquhar appeared

NASD REGULATION, INC. STIPULATED AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Ul USA, Inc. 95-03992 Name of Respondent RAS Securities Corporation For Claimant UI USA, Inc., ("claimant") appeared Stephen Rinehart, Esq. of Parker Chapin Flattau & Klimpl, LLP., New York, New York. For Respondent RAS Securities Corporation ("respondent") appeared Sheldon Gopstein, Esq., New York, New York. CASE IN

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS [n the Matter of the Arbitration Between Name of Claimant Roy T. Shannon 95-03991 Name of.Respondents Quick and Reilly, Inc. Gus Coutiakis REPRESENTATION Claimant Roy T. Shannon ("Claimant") was represented at the hearing by Morris J. Levin, Esq., Attorney at Law, Washington, DC. Respondents Quick and Reilly, Inc. ("Quick and Reilly") and Gus Coutiakis ("Coutiakis") were repre

N.A.S.D..AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In The Matter of the Arbitration Between Name of Claimant Bruce E. Kibler 95-03985 Name of Respondents A.G. Edwards & Sons, Inc. M. Jane Matoesian CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 18, 1995, Claimant Bruce E. Kibler ("Claimant"), who appeared Pro Se, alleged that Respondent A.G. Edwards & Sons, Inc. ("A.G. Edwards

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Charles and Rose Fairbanks 95-03984 Name of Respondents Rickel and Associates Inc. John Rock Robert Chason Paul Kotos REPRESENTATION For Claimants Charles and Rose Fairbanks ("the Fairbanks'*): Stephen D. Spivey, P. A., Ocala, Florida. For Respondent Rickel and Associates, Inc. ("Rickel"): Vincent P. Sarnatora, Dir