AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Willie A. Larks 96-04044 Name of Respondents Edward Dorr; J.B. Oxford & Co. REPRESENTATION For Claimant: Willie A. Larks ("Larks") was represented by Anthony J. Horn, Esq. of Philadelphia, Pennsylvania. For Respondent: J.B. Oxford & Co. ("JBOC") and Edward Dorr ("Dorr") were represented by Jeffrey Kob, Esq. of Miller Mi

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04041 John W. Braucht and Luella D. Braucht, claimants vs. Raymond James & Associates, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se For Respondents John N. Critchlow, Esq., St. Petersburg, Florida DATE FILED: September 11, 1996 CASE SUMMARY: Claimants alleged that they incurred a loss when respondent cancelled transactions in their stock/o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimants Martin and Marcia Kepecs 96-04039 Name of Respo/idents Merrill Lynch Pierce Fenner & Smith Inc John C. Varricchio CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on September 10, 1996, claimants Martin and Marcia Kepecs ("claimants"), who appeared Pro Se» alleged that respondents

N.A.S.D. ARBITRATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC, In foe Matter of the Arbitration Between NJ^me of Claimant James E. Hayes 96-04036 Name of Respondents A.S. Goldmen & Company, Inc. Everen Clearing Corp. SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on September 10. 1996, claimant James Hayes ("claimant"), who appeared Pro Se, alleged that respondents A.S. Go

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS to the Matter of the Arbitration Between Name of Claimant^ Kazem Mahdavt 96-04035 Name of Respondents) Mea Melberg Marine Midland Securities Inc. REPRESENTATION For Claimant, Kazem Mahdavi, appeared Anthony J. Horn, Esq., located in Philadelphia, Pennsylvania. For Respondents, Marine Midland Securities, Inc. ("Marine Midland Securities") and Mea Melberg ("Melberg") (collectively t

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Richard Emery, Mark Benda and Russell Benda, Claimants. v. Case Number 96-04034 Cohig & Associates, Incorporated, Respondent. OF PARTIES Richard Emery, Mark Benda and Russell Benda ("Claimants") were represented by John D, Hudson, Esquire of The Rosenberg Law Firm in Des Moines, Iowa. Cohig & Associates, Inc. ("Respondent") was represen

f \ N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04033 Constance D. Dulin, claimant v. Wilmington Brokerage Services Co., respondents. ATTORNEYS: Claimant appeared Pro Se., Lewes, DE For Respondents Matthew J. Lynch, Jr., Esq., North Wilmington, DE DATE FILED: 9/10/96 CASE SUMMARY: Claimant alleged failure to pay commissions. Claim Data Award Data Claim: $2,873.00 plus interest at Awa

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael Kavanagh, (Claimant) vs. Montrose Capital Management, Ltd., David Jacaruso, Joseph Scotti, and Robert Winston, (Respondents) Case Number: 00-05194 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Michael Kavanagh, hereinafter referred to as "Claimant": Jonathan C. Thau, Esq., Luboja & Thau, LLP, New York, NY. Respondents, Montrose Capital Manage

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant The San Francisco Company v. Name of Respondent Everen Securities Arbitration No. 96-04032 For Claimant: For Respondent: Statement of Claim tiled: REPRESENTATION Martin L. Marcus The San Francisco Company Los Angeles. California Renan Sugarman, Esq. Everen Securities Chicago. Illinois CASE IN

AWARD NASD REGULATION, OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Ely Enterprises v. NASD Regulation, Inc. Arbitration No. 96-04031 Name of Respondents Merrill Lynch Pierce, Fenner & Smith REPRESENTATION For Claimant: Henry Steelman, Esq. Law Offices of Henry Steelman Encino, California For Respondents: John K. Shannon Merrill Lynch Pierce, Fenner & Smith, Inc. New York, New