N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William E. McNeal 95-01732 Name of Respondent M. Rimson & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 7, 1995, Claimant William E. McNeal ("Claimant"), who appeared Pro Se, alleged that Respondent M. Rimson & Co., Inc., through its representative Gene Shkilko ("Shki

N.A.S.D.R. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Robert Bonitz, B&B Investors, George A. Farmer, Paxtonia Associates, Residential Warranty Corp. #23, Residential Warranty Corp. #24, Residential Warranty Corp. #28 and Residential Warranty Corp. #EAM 95-01727 Name of Respondents Josephthal Lyon & Ross Inc. Southeast Research Partners, Inc. Bonnie Motyka REPRES

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael J. Sims 95-01726 Name of Respondent Olde Discount Corporation REPRESENTATION Claimant Michael J. Sims ("Claimant") appeared at the hearing pro se. Respondent Olde Discount Corporation ("Respondent") was represented at the hearing by David T. Doyle of Olde Discount Corporation, Detroit, ML CASE INFORMATION The St

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Zimbalist Smith Investments, LLC, Claimant v. A.G. Edwards & Sons, Inc. and Michael A. Groat, Respondents Case Number: 00-05075 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES For Claimant: Greg Hendrix Hendrix & Brinich, LLP Bend, Oregon For Respondents: Clay L. Grumke A.G. Edwards Sons, Inc. St. Louis, Missouri CASE INFORMATION Statement of Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Alfred and Antoinette Wehrfaeim 93-00681 Name of Respondents Shearson Lehman Brothers, Inc. n/k/a Smith Barney Shearson, Inc. Michael Rago CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 24, 1993, Claimants Alfred and Antoinette Wehrheim, who appeared Pro Se, alleged that

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kidder, Peabody & Co., Inc. 93-00680 Name of Respondents Knowledge Services. D Group, Inc., and Douglas Moga REPRESENTATION OlTPARTIES For Claimants at the hearing: David Rivera, Esq. of Kidder, Peabody & Co., Inc., New York, New York. For Respondents at the hearing: Douglas Moga, Pro Se. CASE INFORMATION Statement of C

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William J. Lazar 93-00676 Name of Respondent Hibbard Brown & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 24, 1992, Claimant William J. Lazar, who appeared Pro Se, alleged that on June 23, 1992 he purchased 250 shares of the common stock of CCC Franchis

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Russell Bedford and Sharon Bedford, (Claimants) vs. Metlife Securities, Inc. and Douglas Gismondi, (Respondents) Case Number: 00-05072 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Russell Bedford ("R. Bedford") and Sharon Bedford ("S. Bedford"), hereinafter collectively referred to as "Claimants": Mitchell H. Cobert, Esq., a sole practitioner, Morr

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Raymond and Marie Clarke 93-00672 Name of Respondents Shearson Lehman Brothers, Inc., n/k/a Smith Barney Shearson, Inc. Marsha Lee CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 23, 1993. Claimants Raymond and Marie Clarke, who appeared Pro Se, alleged that Re

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Doris M. Breckenridge, M.D., P.A. Employee Pension Trust 93-00671 Name of Respondent Gruntal & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 23, 1993, Claimant Doris M. Breckenridge, who appeared Pro Se, alleged that on April 24, 1992 she transferred