AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Rami Kichi Mahmoud Kichi Case Number and 96-03697 Name of Respondents Prudential Securities, Inc. Wheat First Securities, Inc. Michael Raissis Michael Kerrigan REPRESENTATION OF PARTIES For Rami Kichi and Mahmoud Kichi ("Claimants") appeared G. Alexander Novak, Esq., ofiNovak &Juhase, located in New York, New York. ux Prudential Securit

N.A.S.D. REGULATION AWARD NASD, REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Laura M. Zwick 96-03688 Name of Respondents John V. Guchone Corporate Securities Group, Inc. REPRESENTATION For Claimant Laura M. Zwick appeared Sanford R. Shapiro, Esq. of the law firm of Shapiro, Rosenbaum & Liebschutz, LLP located in Buffalo, New York. For Respondents Bear Stearns & Company, Inc., John V. Guchone, Bear Stearns Se

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-03687 Burt F. Maguire, claimant v. LaCroix Alexander Financial Corp. and GPS Consulting Corp., respondents. ATTORNEYS: For Claimant Claimant appeared Pro Se., St Augustine, FL. For Respondents Dan R. Waller, Esq. - Dallas, TX. DATE FILED: 8/26/96 CASE SUMMARY: Claimant alleged misrepresentation regarding his investment in an oil and gas joint v

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-03685 Mark M. & Joclyn Melzl, claimants v. ^ufhauser & Company, Inc., Jim Rickets and Ameritrade Inc., respondents. ATTORNEYS: Claimants appeared pro se - Old Bridge, NJ. For Respondents appeared Jim Rickets - New York, NY. DATE FILED: 8/26/96 CASE SUMMARY: Claimant alleged misrepresentations and omissions, breach of fiduciary duty, breach of the impli

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant John A. St. George Case No. 00-05169 Names of Respondents TD Waterhouse Investor Services, Inc. Erik Wiklund Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES John A. St. George, hereinafter referred to as "Claimant", appeared pro se. For TD Waterhouse Investor Services, Inc. ("TDW") and Erik Wiklund ("Wiklund") hereinafter collectively

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Roque Ramirez and Josephine Ramirez 96-03678 Name of Respondent Rickel & Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 26, 1996, claimants Roque Ramirez and Josephine Ramirez ("claimants"), who appeared Pro Se, alleged that David Barroso ("Barroso"), was thei

NASD REGULATION, INC, AWARD In the Matter of the Arbitration Between Name of Claimant Nulsen B. Smith 96-03677 Names of Respondents Bear Stearns & Company Michael Cooney Bruce Lisman William M. Jennings REPRESENTATION For Claimant Nulsen B. Smith ("Claimant") appeared Anthony D. Rizzotti, Esq., of the law firm Dwyer & Collora, LLP, located in Boston, Massachusetts. For Respondents Bear Stearns & Company ("Bear Stearns"), Michael

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Judy Canon, Claimant, and No. 96-03676 A.G. Edwards & Sons, Inc., and William Lee, Respondents. REPRESENTATION OF PARTIES Claimant, Judy Canon was represented by Sidney Levine, Esquire, Sole Practitioner, located in Sealy, Texas. Respondents, A.G. Edwards & Sons, Inc. ("A.G. Edwards") and William Lee were represented by Jeff Jamieson, Esquir

N.A.S.D. REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Mary a Teri Konars 96-03674 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., James Tenuto, and Robert Donia REPRESENTATION OF PARTIES For Claimant: Judith Hartwig, Esq., Law Offices of Thomas R. Gill, San Diego, California. For Respondents: Terry E. Sanchez, Esq., Munger Tolles & Olson, Lo

J AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between John Franklin and Shirley Franklin Claimants, and No. 96-03673 Financial Investment Network Corporation and Jeannie Janota Respondents. REPRESENTATION OF PARTIES Claimants, John Franklin and Shirley Franklin, were represented by Glenn H. Devlin, Esquire of Devlin & Phillips, located in Houston, Texas. > > Respondents, Financial Investment