FeB-05-1996 16:57 FROM TO 1212B584141 P.02/15 ; ; NASD AWARD NATIONAL ASSOCIATION OF SECUBITEES DEALERS, INC. In the Matter of the Arbitration Between Joan and Vent Trombley 95-01369 aod Resondents Scott and Ivars Kauls REPRESENTATION OF PARTIES Joan and; Vern Trombley ("Claimants") appeared pro se. Scott and Ivars Kauls ("Respondents' 1 ) were represented by James K. Langdon, H, Esq. of Minneapolis* Minnesota- CASE INFORMATI

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s') James and Knar Goulian 95-01366 Name of Respondentfs') Prudential Securities Inc REPRESENTATION For Claimants James and Knar Goulian ("Claimants"), Joseph M. Kennedy, Esq. of the firm Harwood Lloyd located in Hackensack, New Jersey. For Respondent Prudential Securities, Inc. ("Respondent"), Mihal Nihari, Esq. of the firm Bu

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) Invest Financial Corporation v. Arbitration No. 95-01363 Name of Respondent^ RFCA Financial Services, Inc. Bradford J. Barker Monica Welch REPRESENTATION For Claimant: Eugene B. Harper, Esq., Invest Financial Corporation, Tampa, Florida For Respondent RFCA Financial Services: Robert Tretiak, RFCA Financial Services, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Albert R. Mull 95-01357 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. James A. Chippi CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 20, 1995, Claimant Albert R. Mull ("Claimant"), who appeared Pro Se, alleged that Respondents Merrill Lynch, Pierce, Fenner

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Diane L. Stark 95-01356 Josephthal Lyon & Ross Inc. Jim Conaghan REPRESENTATION Claimant, Diane L. Stark, appeared pro se. For Respondent, Josephthal Lyon & Ross Inc., appeared Robert E. Murphy, Esq. of Josephthal, Lyon & Ross, Inc., located in New York, New York. Respondent, Jim Conaghan, did not appear at the evidentiary

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Max Cohen 95-01351 Name of Respondents Ron Shaya M.L. Stern & Co., Inc. ^ CASE SUMMARY , In a claim filed with the National Association of Securities Dealers, Inc. on March 17, 1995 Claimant Max Cohen, through his representative under a general power of attorney, Stuart Cohen, alleged that Respondents Ron Shaya ("Shaya"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph J. and Helen A. Terry JTWROS 95-01350 Name of Respondents A.G. Edwards & Sons, Inc. Josephthal Lyon & Ross, Inc. John Valdes CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 17, 1995, Claimants, Joseph J. and Helen A. Terry JTWROS ("Claimants"), who appeared Pro Se, al

/ AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Penny DiRocco 95-01348 Name of Respondent Piper Jaffray Inc. REPRESENTATION For Claimant Penny DiRocco ("DiRocco"): Lawrence D. Martin, Esq., of Naples, Florida. For Respondent Piper Jaffray, Inc. ("Piper"): Joseph W. Anthony, Esq. of Fruth & Anthony, Minneapolis, Minnesota. CASE INFORMATION Statement of C

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Theodore K. Cobb and 95-01345 Name of Respondent Andrew E. Gift REPRESENTATION QF PARTIES Theodore K. Cobb ("Claimant") appeared pro se. Andrew E. Gift ("Respondent") appeared pro se, CASE INFORMATION The Statement of Claim was filed on or about March 17,1995. Submission Agreement of Claimant Theodore K. Cobb was sign

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mahmood Ansari (Claimant) v. May, Davis Group and Owen May (Respondents) Case Number: 00-04640 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Mahmood Ansari ("Ansari") hereinafter referred to as "Claimant" appeared pro se. Previously represented by: Marc J. Ross, Esq., Sichenzia, Ross, Friedman &