N.A.S.n. AWARD NATIONAL ASSnnATION OF SFr.TTttlTTCS nF.AT.RRS. INC In the matter of the Arbitration Between • nf r)|flimant Fred Amsel v NASD Arbitration No. 95-01767 Nam ft nf Respondent Kennedy, Cabot & Co. For Claimant: Fred Amsel, In Pro Per For Respondent: George Kupper, Kennedy, Cabot & Co., Beverly Hills, California r ACT. INFOttMATTON Statement of Claim filed: April 10, 1995 Claimant's Submission Agreement signed

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Jack A. Serio and NASD Case Number: 95-01764 Name of Respondents Morgan Keegan & Company, Inc. Hugo Urrea REPRESENTATION OF PARTIES Claimant Jack A. Serio was represented by Gerald Wasserman, Esq. of Bach & Wasserman, Metairie, Louisiana. Respondent Morgan Keegan & Company, Inc. was represented by David M. Minnick, Esq. o

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Names of Claimants Werner C, Hoelscher and Lena M. Hoelscher 95-01761 Names of Respqadents Hanover Sterling & Company, Ltd., Lowell Schatzer and Michael Nnebe REPRESENTATION OF PARTIES Werner C. and Lena M. Hoelscher ("Claimants") were represented by Steve M. Williard, Esq. of Meter, Knight & Williams located hi Houston, TX. Micha

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William Wolfe 95-01759 Name of Respondents Empire Securities, Inc. Randall J. McNiece Charles A. Anderson Randall Strack CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 31, 1995, Claimant William Wolfe, through his representative, Brian K, Lowe of Investors Arbitration Se

NASDR AWARD NASDR. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Thomas James Associates, Inc. (Now known as HJ. Meyers & Co., Inc.) NASDR Arbitration #95-01756 vs. Name of Respondent^ Cohig & Associates, Inc. Troy M. Peters REPRESENTATION For Claimant: Paul Delmore, Esq., Edwards, White & Sooy, San Diego, California For Respondent Cohig & Associates: Frank W. Visciano, Esq., Senn, L

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between John Dominici. Claimant, v. " No. 95-01754 Linda Bently, Karen Lighthizer, Jeanne Carney, and Erin O'Rourke. Respondents. REPRESENTATION OF PARTIES The Dominici Family Trust ("Claimant") was represented by John Dominici, Phoenix, Arizona. Linda Bently ("Bently"), Karen Lighthizer ("Lighthizer"), Jeanne Carney {"Carney"), and Erin

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Bernie Co. and Bernhardt Rosenberg, Claimants, and No. 95-01751 Piper Jaflray, Inc. and James J. Ingram, Respondents, REPRESENTATION OF PARTIES Claimants Bernie Co. and Bernhardt Rosenberg were represented at the hearing in this matter by Joel Hanover, Esquire of Vero Beach, Florida. Claimants were also represented at various times throughout th

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Steven Rosner 95-01750 Name of Respondents Paulson Investment Company Inc. Investors Associates, Inc. REPRESENTATION For Claimant Steven Rosner ("Claimant") appeared Robert J. Poulson Jr. Esq. located in New York, New York. For Respondent Investors Associates Inc. ("IAI") appeared Lawrence Gelber Esq. in-house-counsel. For Respondent Paulson Investment Compan

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Mei-Ban Lo and Sarsi Lo and 95-01743 Name of Respondent RAF Financial Corporation Max Gould REPRESENTATION OF PARTIES Mei-Ban Lo and .Sarsi Lo ("Claimants") were represented by Paul G. Bursiek, Esq., Pendleton Friedberg Wilson Hennessey & Meyer, P.C., Denver, Colorado. RAF Financial Corporation ("Respondent RAF") and Max

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Eric R. Thornlow, 95-01738 Name of Respondent NationsSecurities, Inc. REPRESENTATION For Claimant, Matthew A. Henderson, Esq., from the law firm of Henderson, Brandt & Vieth, Spartanburg, SC. For Respondent, Cory Hohnbaum, Esq., of Counsel to the law firm of Kennedy, Covington, Lobdell & Hickman, L.L.P., Charlotte, NC. CASE