N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Karen M. Burkhardt 95-01854 Name of Respondents Provident Securities & Investment Co. Susan Sando REPRESENTATION Claimant Karen M. Burkhardt ("Claimant") appeared pro se. For respondent Provident Securities & Investment Co.("Provident* 1 ) and Susan Sando ("Sando") (collectively referred to as "respondents") appeare

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jennifer C. Smith, Nicholas P. Smith, Brian E. Mudrick, and Mary A. Coduti, (Claimants) vs. Platinum Equities, Inc., John J. Kenny, and Pasquale Forti, (Respondents) Case Number: 00-05086 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Jennifer C. Smith ("J. Smith"), Nicholas P. Smith ("N. Smith"), Brian E. Mudrick ("Mudrick"), and Mary A. Coduti ("Coduti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Thomas F. Langston Name of Resnondent(s) NationsSecurities 95-01850 REPRESENTATION For Claimant Thomas F. Langston: Craig M. Frankei, Esq., of the law firm of Meadows Ichter and Trigg, Atlanta, GA. For Respondent NationsSecurities: Cory Hohnbaum, Esq., of the law firm of Kennedy,, fipyington, Lobdell and Hickman, LLP, Cha

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph C. & Judy Roetheli 95-01848 of Respondents Ian R. Hosang Hugh Daniel Dunn A.S. Goldmen & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 18, 1995, Claimants Joseph C, & Judy Roetheli, who appeared Pro Se, alleged that Respondents Ian R. Hosang ("Hosang")

NASU Rl-CiULATION. INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the 1 Arbitration Hctwoca Name of Claimant Klaus Dieter Paul 95-01X47 Name of Respondents Raymond. James & Associates. Inc. American Wealth Management REPRESENTATION For Claimant Klaus Dieter Paul ('Claimant") appeared F.dxvarU G. Williams, I : .SL|.. of the firm Windels Marx Davids & Ives. located in New York, New York. For Respondent Raymond. Ja

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Karl F. Provost 95-01843 Name of Respondent(s) Merrill Lynch Pierce Fenner & Smith Inc William Bruce Dredge REPRESENTATION Claimant, Karl J. Provost ("Claimant"), appeared Pro Se. For Respondents Merrill Lynch Pierce Fenner & Smith Inc. ("Merrill Lynch") and William Bruce Dredge ("Dredge"), collectively ("Respondents

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Cynthia J. Mines 95-01839 Name of Respondent Fidelity Brokerage Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 4, 1995, Claimant Cynthia J. Mines ("Claimant"), who appeared Pro Se, alleged that Respondent Fidelity Brokerage Services, Inc. ("Respondent"), failed to

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between • Name of Claimant Cherie Zaretsky-BattagHa Name of Respondents Dale Englehardt Community Securities, Inc. 95-01838 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on Aprii 18, 1995, Claimant Cherie Zaretsky-BattagHa, who appeared Pro Se, alleged that Respondents Community Securities, Inc. ("CSI

N.A.S P. AWARD NATIONAL ASSOCIATION OF SFriTftTTIES HEALERS INf! In the matter of the Arbitration Between «. Name nf Claimant Randy J. Shaw v. NASD Arbitration No. 95-01834 nf "Respondents Liberty Capital Markets, Inc., Robert Holmes and Doyle Holmes For Claimant: Robert F. Curotto, Esq. Curotto Law Offices Oakland, California For Respondents: David M. Grey, Esq. Turner, Cooper and Reynolds Irvine, California TTWOPMATTON

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Investacorp, Inc., Claimant, v. No. 95-01832 Quintas Earl Webb, and Barbara G. Webb, Robert Loeser, John Blanchette-Loeser LP, and Correspondent Services Corp., Respondents. REPRESENTATION OF PARTIES Claimant Investacorp, Inc. was represented by David M. Rappaport, Esq. of Investacorp, Inc. located in Miami, FL. Respondents Quintas Earl