N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants NASD Arbitration Terrance Lee McCarty #95-01520 Margaret E. McCarty. vs. Name of Respondents Kidder, Peabody Sc Co., Inc. David Swanson Matthew Miller REPRESENTATION For Claimants: Thomas K, Coan, Esq., Portland, Oregon For Respondents: William H.. Phelps, Esq., Kidder, Peabody & Co., Los Angeles, California,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gary Glass 95-01518 Name of Respondents A.S. Goldmen & Co., Inc. Anthony DeLuca REPRESENTATION b> For Claimant Gary Glass appeared Robert Lewis, Esq., a sole practitioner located in New York, New York. For Respondents A.S. Goldmen & Co., Inc. ("A.S. Goldmen") and Anthony DeLuca ("DeLuca") appeared Phoebe A. Wilkinso

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Sav-A-Trip, Inc., Claimant, v. No. 95-01516 Stratton Oakmont, Inc., Jordan R. Belfort, Daniel M. Porush, Kenneth S. Greene, Christopher F. Castaldo, Matthew L. Bloom, and Andrew Greene, REPRESENTATION OF PARTIES Claimant Sav-A-Trip, Inc. ("Claimant") was represented by Mr. Barry D. Esteli, Esquire, of Mission, Kansas, and Mr.

FINAL ORDER NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between William E. Brookhauser> and Virginia Brookhauser, Claimants, v. No. 954)1509 R.G. Dickenson & Co. n/k/a Dickenson & Co., Respondent. REPRESENTATION OF PARTIES William E. Brookhauser, and Virginia Brookhauser ("Claimants") were represented by Bruce Pearson from Fargo, North Dakota. Respondent Dickenson & Co. ("Respondent") was repre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of m Claimant Nicholas Mirabile : No. 95-01502 Name of Respondents Bear Stearns & Company Douglas L. Berger REPRESENTATION The Claimant, Nicholas Mirabile ("Mirabile") , was represented by Charles Hamilton of Law Offices of H. Dawson French located in Dallas, Texas. The Respondents, Bear Sterns & Co. (Bear Sterns") and Doug

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between b Name of Claimants Robert Alvin Davis and Polly Allen Davis 95-01498 Name of Respondent First Union Brokerage Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 24, 1995, Claimants Robert A. Davis and Polly A. Davis ("Claimants"), who appeared Pro Se, alleged that Respondent First

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Charles Schwab & Company, hie. Case No. 00-04656 Name Thomas NT.rRichfield d/b/a SPI Investments aka Star Personnel, Inc. Hearing Site; A Washington D.C. Arbitration Panel decided on the papers py.PRF.SF.TVT A Tfn]\T OF PARTIF.S Claimant, Charles Schwab & Company, Inc., hereinafter referred to as "Claimant": Richard A. Karoly, Esq., Charles Schwab & Company, Inc., S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ernest B. Miller and Naomi S. Miller 95-01497 Name of Respondent NationsSecurities CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 24, 1995, Claimants Ernest B. Miller and Naomi S. Miller, who appeared Pro Se, alleged that Respondent NationsSecurities, failed to keep them inform

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Clover G. Moffat, Trustee for the Benefit of the Moffat Family Trust, Dated 1/10/86 Name of Respondents Prudential Securities, Inc., M.L. Stern & Co., Inc., and Bradley Glasman NASD Arbitration No. 95-01495 REPRESENTATION For Claimant: For Respondent Prudential Securities, Inc. For Respondent M.L. Stern & Co., Inc

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Names of Claimants William J. Ragusin and Rita F. Guilders and Case Number 95-01492 Names of Respondents PaineWebber, Incorporated, Christopher Zangari and Alan Spierer REPRESENTATION OF PARTIES William J. Ragusin and Rita F. Childers ("Claimants") were represented by Charles A. Lucido, Esq. of Dallas, Texas. PaineWebber, Inc., Ch