N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Namejjf Claimant Steven K. Lee 95-03955 Kerry S. Brecker Howard Geifand CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 16, 1995, Claimant Steven K. Lee ("Claimant"), who appeared Pro Se, aJleged that in May of 1995, Gregory Welch ("Welch") of Stratton Oakmont ("SO"), contacted him via telephone

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 95-03953 Name of Respondent Michael NovieJii CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 16, 1995, Claimant PaineWebber, Inc. ("Claimant"), through its representative and in-house counsel, Evan Charkes, Esq., alleged that Respondent Michael Novielli ("Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James \V. Iddings 95-03952 Name of Respondents Wheat First Securities, Inc. Vanguard Marketing Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 16, 1995, Claimant James W. Iddings, who appeared Pro Se, alleged that Respondents Wheat First Securities, Inc. ("WFSI")

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Narne of Claimant Kent Smith 95-03951 Name of Respondent PaineWebber, Inc. REPRESENTATION For Claimant Kent Smith appeared Steven A. Goldfarb, Esq. of the law firm HahnLoeser Parks located in Cleveland, Ohio. For Respondent PaineWebber, Inc. appeared Walter Reynolds, Esq. of the law firm Porter, Wright, Morris & Arthur located in Dayton, Oh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant 95-03950 Name of Respondent Douglas McCaskey REPRESENTATION For Claimant Robert Thomas Securities. Inc. appeared John N. Critchiow, Esq., in-house counsel at Robert Thomas Securities, Inc. Respondent Douglas McCaskey did not enter an appearance in this matter. CASE INFORMATION The Statement of Claim was filed on August 16,

NASD REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John V. Harper William M. and EHnor Harper Cornelia A. Wise Arthur F. Cohen 95-03946 Name of Respondents Collner Higgins & Anderson, Inc. Kenneth Darrell Arrington REPRESENTATION For Claimants John V. Harper, William M. and Elinor Harper, Cornelia A. Wise and Arthur F. Cohen ("Claimants") appeared Will

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Adam Stolpen Carolyn Wigder 95-03945 Name of Resppridepts Gnmtal & Co., Inc. Morgan Stanley & Co., Inc. Duntiill Equities Inc. Andre Lopoukhine REPRESENTATION For Claimant Adam Stolpen and Carolyn Wigder (collectively "Claimants") appeared Edward G. Werner, Esq., of Kalmus & Martuscello, located in New York, New York. Fo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dan Beech 95-03939 Name of Respondent M. Rimson & Co., Inc. Chris Kovacevich CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 15, 1995 Claimant Dan Beech, who appeared Pro Se T alleged that Respondent M. Rimson & Co., Inc., through its account executive, Respondent Ch

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAJLERS In the Matter of the Arbitration Between Name of Claimant(s) William Todd Canard 95-03938 Name of Respondem(s) Cohig & Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 15, 1995 Claimant William Todd Conard, through his representative, Jean M. Lang of Investment Disputes Arbitration Center, Largo, FL, alleged that Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Georgene and Josephine Mesco 95-03933 Name _ofRespondents Christine Wilmoth-Colbert John Hancock Distributors, Inc. John Hancock Mutual Life Ins. Co. Carlos Ohlbaum CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 15, 1995 Claimants Georgene and Josephine Mesco, who appe