N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant. Ronald C.. MacLeod, 95-04020 Name of Respondent, PaineWebber, Inc. REPRESENTATION Claimant Ronald C. MacLeod ("Claimant") was represented by Marvin Granath, Esq. of ' Granath & O'Donnell, P.A. located in St. Louis Park, MN, Respondent PaineWebber, Inc. ("Respondent") was represented by Robert Zeglovitch, Esq. of Leonard, S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Daniel L. Brenning 95-04016 Name of Respondents The Ohio Company Ralph R. Feamster CASE SUMMARY In a claim tiled with the National Association of Securities Dealers, Inc. on August 22, 1995, Claimant Daniel L. Brenning ("Claimant 11 ), who appeared Pro Se, alleged thai Respondents The Ohio Company ("TOC") and Ralph

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas H. Lambie 95-03553 Marns ct" Respondent A.G. Edwards & Sons, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 21, 1995, Claimant Thomas H. Lambie ("Claimant"), who appeared Pro Se, alleged that Respondent A.G. Edwards & Sons, Inc. ("Respondent") through its representati

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Andreu Work Out Wear Inc. 95-03551 Name of Respondent Rickel & Associates Inc. Brian Mihok Wolf Financial Group, Inc. REPRESENTATION Claimant Andreu Work Out Wear, Inc. acted pro se. For Respondent Rickel & Associates, Inc. ("Rickel' 1 ): Vincent P. Sarnatora, Senior Vice President, Director of Compliance, Ricke

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between John Harvison Claimant, v. No. 95-03549 Oppenheimer & Co , Inc and Jay F. Dingee Respondents, REPRESENTATION OF PARTIES Claimant John Harvison was represented by Edward W. Russey, III, Esquire of Law Offices of Jeff Ferentz, located in Newport Beach, CA. Respondents Oppenheimer & Co., Inc. and Jay F. Dingee were represented by Eugene L. Small

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between: J.J.B. Milliard, W.L. Lyons, Inc. and William Mark Boehmier, Claimants, V. No. 95-03545 First Citizens Financial Plus, Inc., Respondent, REPRESENTATION OF PARTIES J.J.B. Milliard, W.L. Lyons, Inc. and William Boehmier ("Claimants") were represented by Saul C. Belz, Esq. of Waring Cox, Memphis, Tennessee. First Citizens Financial Plus, In

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Theodore G. Fitch Trust Theodore G. Fitch Elizabeth S. Fitch Trust Elizabeth S. Fitch 95-03536 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc REPRESENTATION For Claimants: Guy M. Burns, Jr., Esq. of the law firm of Johnson, Blakely, Pope, Bokor, Ruppel & Burns, P.A., Tampa, Florida. For Respondent; Keit

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jacqueline Faye Steffler Claimant NASD Arbitration v. No. 95-03534 Kidder Peabody & Co. Carl F. Neuman Respondents REPRESENTATION OF PARTIES Jacqueline Faye Steffler ("Claimant") was represented by Arthur S. Leider, Investors Arbitration Services, Kidder Peabody, Inc. and Carl Neuman ("Respondents") were represented by William H. Phel

NASD Arbitration No.95-03531 N.A.S.D. AWARD NATTONAT A.^nrTATTON OF SFrTmiTTPS DEALERS, TMf! In the matter of the Arbitration Between Name nf Claimant Allen W. Guisinger Name nf Respondent Bear Stearns & Co., Inc. James Weymouth RKPRFSFNT ATTON For Claimant; Randolph I. Gordon, Esq., Casey Gordon Davis, P.S., Bellevue, Washington For Respondent: Shannon L. McDougald, Esq., Keesal, Young & Logan, San Francisco, California TASF

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Grigori Tsoukanov 95-03528 Name of Respondents M. Rimson & Co., Inc. Bob Judge Mark Judge Dan Dietrich REPRESENTATION For Claimant appeared Jeffery B. Melcer, Esq. of the law Finn Ross, Suchoff, Egert & Hankin, P.C. located in New York, NY. Respondents, M. Rimson & Co., Inc., Bob Judge, Mark Judge and Dan Dietrich, did