Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Mamp nf Tanya L. April; and James H. Fipps Case No. 00-05304 of Respondents Richard M. Politte; Smith, Moore & Co.; and Thomas J. Davidson Hearing Site- St. Louis, Missouri Claimants Tanya L. April ("April") and James H. Fipps ("Fipps") were represented by David N. Damick, Esq. of St. Louis, Missouri. Respondents Richard M. Politte ("Politte") was repres

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John T. Higgins 93-00036 Name of Resoondent Marion Molenda CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 5, 1993, Claimant John T. Higgins, who appeared Pro Se, alleged that he was first introduced to J.W. Gant & Associates when he purchased a munibond for $1,000.0

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas E. Canfield Name of Respondents Edward S. Schlichting Rio S. Vitale 93-00034 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 5, 1993, Claimant Thomas E. Canfield, who appeared Pro Se, alleged that Respondents Edward S. Schlichting and Rio S. Vitale of Scottsdale Secu

P!»O| » uu N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Gregory R. Viola 93-00032 Name of Respondentfs) A.S. Goldmen & Co. Gerardo Salazar REPRESENTATION For Claimant: Christopher C. Fountain, Esq. For Respondent A.S. Goldmen & Co.: Carole Bernstein, Jr., Esq. of Bachner, Tally, Polevoy & Misher. For Third-Party Respondent Gerardo Salazar: Christopher E.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jack M. Armstrong 93-00031 Name of Respondent Olde Discount Corporation REPRESENTATION For Claimant: Leny K. Wallen-Friedman, Esq., of Fruth & Anthony, P.A. For Respondent: Thomas P. Fitzgerald, Esq., of Altheimer & Gray CASE INFORMATION Statement of Claim filed: December 28, 1992. Claimant's Submission Agreement signed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant CTI Logistics, Inc. vs. Case # 93-00030 Name of Respondents Merrill, Lynch Pierce, Fenner & Smith, Inc. John Eckert REPRESENTATION For Claimant, CTI Logistics, Inc. ("Claimant"), Harry L. Garman, Esq., from the law firm of Garman and Andur. For Respondents, Merrill, Lynch, Pierce, Fenner & Smith, Inc. ("Merrill") and John E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nameo^Clainiant Joseph M. McGovern 93-00029 Name of Respondents Smith Barney Harris Upham & Co., Inc. John J. Connors CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 5, 1993, Claimant Joseph M. McGovern, who appeared Pro Se, alleged that Respondent John J. Connors, stockbroker for Responden

N.A.S.D. AWARD In the Matter of the Arbitration Between Name of Claimant Joan T. Ashton 93-00028 Name nf Respondent Karen A. Shockley CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 5, 1993, Claimant Joan T. Ashton, who appeared Pro Se, alleged that Respondent Karen A. Shockley of the finn Chatfield Dean Investment Bankers & Co., placed her funds in unsuitable securities, such as NTN Canada

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Datek Securities Corp. 93-00013 Name of Respondent Prudential Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 4, 1993, Claimant Datek Securities Corp., through its representative, Simon S. Kogan, Es^Krf-NY, N.Y., alleged that Respondent Prudential Securities, I

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-05301 PaineWebber Incorporated, Claimant vs. Terrance Cephas, Respondent. ATTORNEYS: Claimant appeared through Romaine L. Gardner, Esq., Staten Island, NY. Respondent did not respond to the Statement of Claim. DATE FILED: November 30, 2000 CASE SUMMARY: Claimant alleged that Respondent breached his contractual agreement, and failed to repay a debit balance in his Painewebber Resour