N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John M. Johnson 95-03176 Name of Respondent Smith Barney Shearson, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 30, 1995, Claimant John M. Johnson ("Claimant"), who appeared Pro Se, alleged that Respondent Smith Barney Shearson, Inc. ("Respondent") failed to redeem his Ray

NASD AWARD NATIONAL, ASSOCIATION OFSECUR1TIES DEALERS, INC. In the Matter of the Arbitration Between George Heilen and 95-03164 Name of Respondents Ccmnterciaimants Smith, Benton & Hughes, Inc. MichaelZaman ftf PpE*qf T TVrfA7JO]>i Of PARTIES George Helto CCtoimaDf) was represented by Miles M. Cask Esq., Geish&Danielson, Denver, Colorado. Smith, Benu>n & Hughes, Inc. ("Respondent Smith, Benton & Hughes") and Michael Zanaan ("Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Corna Securities, Inc. 95-03156 Name of Respondent E. Jack Davis CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 29, 1995, Claimant Corna Securities, Inc. through its representative, Alan M. Blue, Esq., located in Westerville, OH, alleged that Respondent E. Jack Davis, failed to p

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Stephen G. Loy III (Claimant) v. Dean Witter Reynolds, Inc. a/k/a Morgan Stanley Dean Witter, Inc. (Respondent) Case Number: 01-01007 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant Stephen G. Loy III, hereinafter referred to as "Claimant," was represented by Mark C. Walter, Esq. of Ross, Banks, Cron & Gavin, P.C. Houston, Texas. Respondent Dean Witter

N.A.S.D. Regulation AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between „ . , ,, © National Association Ot XT „_. . Securities Dealers. Inc. Name of Claimant loo/; B. Andrew Farah I77n 9503133 AH Rights Reserved Name of Respondent Jere Wicker-t REPRESENTATION Claimant B. Andrew Farah ("Claimant") was represented by Thomas G. Gardiner, Esq., Gardiner Koch & Mines, Chicago, IL.

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants George Schott Michael E. Basham Case No. vs. 95-03121 Name of Respondent Smith Barney Shearson, Inc. REPRESENTATION For Claimants George Schott ("Schott") and Michael E. Basham ("BashanT), hereinafter collectively referred to as "Claimants/ appeared Jeffrey L. Liddle, Esq. of the law firm Liddle & Robinson located in New York, New York. For Respon

NASD AWARD. NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John Palmisano, Claimant, v. No. 95-03 118 Ronald B. Adrian, p?SR Financial Services, Inc., and Rogers & Adrian, Inc., Respondents. ® National Association of Securities Dealers, Inc. All Rights Res REPRESENTATION OF PARTIES John Palmisano ("Claimant") was represented by Henry F. Sonday, Jr., Esq., of Holbrook, Heaven & Fa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Peter M. Morton Old Bradenton Land Corp. AUG *8 1996 FL ARBITRATION 95-03 112 Name of Respondent Meridian Associates, Inc. © National Association o Securities Dealers, inc. All Rights Reservec REPRESENTATION For Claimants, Peter M. Morton ("Morton") and Old Bradenton Land Corp. ("Old Bradenton"): p

\ * Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf tfrp Plaimflnf P^P; Mnmhpr- 01-01005 Kapil Celly irp- Washington, DC HDBrous&Co.,Inc. RFPRVCT.NTATTOIV OF PARTIES Claimant, Kapil Celly ("Celly"), hereinafter referred to as "Claimant": David E. Price, Esq., Law Offices of Robert M. Price, Washington, DC. Respondent, HD Brous & Co. Inc. ("Brous"), hereinafter referred to as "Respondent": Randi Perry Spallina,

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration between ) ) 'DONALDB. HILL and UELDEAN L. HILL; ) JOHN C. fflLL and JERRI A. HILL; and ) BRUCE A. HILL and ANNE C. HILL, ) ) Claimants, ) ) vs. ) CASE NO. 95-03105 ) S.C. COSTA COMPANY, INC, and STEVEN ) FRITZ, ) ) Respondents. ) REPRESENTATION For Claimants: dell I. Cunningham HI, Esq. and Sheldon B. Swan, Esq. of Dunn