N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael Smith 93-00780 V Name of Respondents First Georgetown Securities, Inc. National Financial Services Corp. REPRESENTATION For Claimant Michael Smith ("Claimant"): appeared pro se. For Respondents First Georgetown Securities, Inc. ("First Georgetown") and National Financial Services Corp. ("NFSC"): Robert T. Ma

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jeffrey Surovell, (Claimant) vs. U.S. Securities and Futures Corp., George Hopkinson, and Robert Van Batenburg, (Respondents) Case Number: 01-00941 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Jeffrey Surovell, hereinafter referred to as "Claimant": Jill Gross, Esq., John Jay Legal Services, Inc., White Plains, NY. Respondent, U.S. Securi

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David O. Hansen 93-00779 Name of Respondent Summit Investment Corporation REPRESENTATION For Claimant at the hearing: Michael B. Braman, Esq. of Meyer & Njus, P.A., Minneapolis, Minnesota. For Respondent: Terrence J. Fleming, Esq. of Lindquist & Vennum, Minneapolis, Minnesota. CASE INFORMATION Statement of Claim fil

NJLS.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DFAT.FRS Francis Vogt, Betty Vogt, and Elizabeth Ann Janes, Claimants, v. No. 93-00771 Conservative Financial Services, Inc., and William H. Sharp, Respondents REPRESENTATION OF PARTIES For Claimants, Francis Vogt, Betty Vogt, and Elizabeth Ann Janes ("Claimants"): John J. Miller, Esq., and Barry D. Estell, Esq., of Nygaard & Miller, Overland Park, Kansas. For Respondents, Conservative Fin

\\% I \ v N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Darlene Livingston 93-00770 Name of Respondent Shearson Lehman Brothers, Inc. For Claimant DMlene,Livi^ Paul X. Shoemaker, Esq.laftfefealamm firm of Greenfield Stein & Senior, LI-P located in New York, New York. urm ^ (jreey For Respondent Sheatsbri Lehman ^:Brot|lers r Inci} ("Respondent") appeared Pete S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Thomas Heller as trustee for the Thomas Heller Trust, Paul Heller and Ruth Heller 93-00764 Name of Respondent(s) Smith Barney Harris Upham & Co., Inc. James H. Mahoney, Jr. For Claimant Thomas Heller as trustee for the Thomas Heller Trust ("Trust"), Paul Heller and Ruth Heller ("Hellers"): Randall W. Henley, Esq. of Henley. &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between of Claimant Margaret M. O'Neill-Jones Personal Representative of the Estate of Austin J. O'Brien and 93-00754 Name of Respondents Merrill Lynch, Pierce Fenner & Smith, Inc. Thomas Klucartis. Ross Fox and Kyle Rice REPRESENTATION OF PARTIES Margaret M. O'Neill-Jones Personal Representative of the Estate of Austin J. O'Brien ("Claimant"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant PaineWebber Incorporated No. 93-00753 Name of Respondent Nazmi Hassanieh REPRESENTATION OF PARTIES For Claimant: Edward P. Degenhardt, Esq., Litigation Counsel, PaineWebber Incorporated, Weehawken, New Jersey. Respondent Nazmi Hassanieh failed to appear at the hearing. CASE INFORMATION Statement of Claim filed: March l, 1993. Claimant's Submission Agreement si

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Deborah Davison 93-00748 Name of Respondent Olde Discount Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 1, 1993. Claimant Deborah Davison who appeared Pro Se, alleged that she purchased 1500 Rts. Mexico Fd Inc. Indefinite after being advised by Respondent Olde Disco

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS of Claimant Carolyn B. Gilbert 93-00736 nf Respondents Craig-Hallum, Inc., Hayne, Miller & Farni, Inc., f/k/a L'Argent Securities, Inc., and William David Milkes REPRESENTATION OF PARTIES For Claimant at the hearing: Rebecca E. Bender, Esq. of Rebecca E. Bender & Associates, P.A., Minneapolis, Minnesota. For Respondent, Craig-Hallum, Inc. t at the hearing: Vincent Louwagie