AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Stifel, Nicolaus & Company, Incorporated and Case Number 96-00937 Name of Respondent PaidW.Lnman,!! REPRESENTATION OF PARTIES Claimant Stifel, Nicolaus & Co., Inc. was represented by Bart A. Boren, Esq. of Williams, Luttrell & Boren, P.C. located in Oklahoma City, OK Respondent Paul W. Inman, II was represented by Steph

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Yasu and The! ma Ohigashi 96-00392 Name of Respondents Jason Pollak George Carhart CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 26, 1996, Claimants Yasu and Thelma Ohigashi, who appeared Pro Se, alleged that Respondents Jason Pollak ("Pollak") and George Carhart ("Carha

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Roy E. and Jimmie M. Chatham 96-00387 Name of Respondent Merrill Lynch, Pierce, Fenner, & Smith Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, tnc. on January 26, 1996, Claimants Roy E, and Jimmie M. Chatham ("Claimants"), who appeared Pro Se, alleged that Respondent Merrill Lynch, Pier

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Wohl Family Trust Claimant NASD Arbitration v. No. 96-00385 Oppenheimer & Co., Inc. David Fahey Paul Kent Tom Hacker Respondents REPRESENTATION OF PARTIES Wohl Family Trust ("Claimant") was represented by Sidney C. Wohl, Oceanside, California. Oppenheimer & Co., Inc., David Fahey, Paul Kent, and Tom Hacker ("Respondents") were rep

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Milton & Leah Nevitt Richard & Barbara Rudolph Barbara Rudolph c/f Jared Rudolph Barbara Rudolph c/f Marissa Rudolph 96-00378 Name of Respondents Russo Securities Smith Barney Shearson, Inc. J.J. Morgan & Company Gilford Securities, Inc. Joseph M. Blumenthal REPRESENTATION For Claimants Milton & Leah Nevitt (the "Nevitts"), Richard & Ba

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Mark P. Marshall, Claimant, and No. 96-00376 Texas Capital Securities Inc. David Frederick Bahr, Thomas Buckley, Patrick Smetek, Don Katz, Nancy Martin, Jeff Loth, Lawrence L. Kohler Respondent. REPRESENTATION OF PARTIES Claimant Mark P. Marshall was represented by John E. Dees, Jr., Esquire of Dallas, Texas. Respondent David Frederick Bahr

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Steven L. Sillyman, and Marcia A. Sillyman, Claimants, vs. No. 96-00372 Charles Schwab & Co., Inc., Respondent. REPRESENTATION OF PARTIES Claimants Steven L. Sillyman and Marcia A. Sillyman ("Claimants") were represented by Rosemary J. Shockman, Esq. and JohnN. McKeegan, Esq., of Shockman & McKeegan, Scottsdale, Arizona. Respondent Charles S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James B. & Marlene McCullough Bedros Bakirtzian Solomon & Flor Melgen Darwin Ting & Kuei Mei Hsieh 96-00370 Name of Respondents Josephthal Lyon & Ross Inc. Donald Wayne Mich! in REPRESENTATION For Claimants: Michael F. Bachner, Esq. of Bachner & Gehn, New York, NY. For Respondent Josephthal Lyon & Ross, Inc. ("Jose

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Antoinette C. Liguori & Robert Liguori 9640353 Name of Respondents M. Rimson & Co. Inc. Al Shindman Larry Stryker Paul Gorr REPRESENTATION Clainiaflt^Antpm^tte C. arid Robert Liguori ("Claimants") appeared at the'hearing pro se. Respondent Paul Gorr ("Gorr") appeared at the hearing pro se. Res

NASD Reulation. .In In the matter of the Arbitration Between Name of Claimant (si William W. Kidwiler Arbitration No. 96-00347 Name of fiegpondent Everen Securities, Inc. Kernper Securities, Inc. William L. Taylor REPRESENTATION For Claimant: Roger D. Mellem, Esq., Foster Pepper & Shefelman, Seattle, Washington For Respondents: Fredrick D. Huebner, Esq., Cable, Langenbach, Kinerk, Bauer & Leshner, LLP, Seattle, Washington CAS