N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants H. Francis Sparks (IRA) Lucille Sparks 95-01161 Name of Respondent BA Investment Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 6, 1995, Claimants, H. Frances Sparks (IRA) and Lucille Sparks ("Claimants"), who appeared Pro Se, alleged that Respondent, BA Inve

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael and Jean Davenport 95-01160 Name of Respondents Prudential Securities Inc. Jeffrey Cole CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 6, 1995, Claimants Michael and Jean Davenport ("Claimants"), through their representative, Charles D. Franken, Esq., located in Pla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John A. Giordano 95-01159 Name of Respondents Raymond S. Rosso Rickel & Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 6, 1995, Claimant John A. Giordano ("Claimant"), who appeared Pro Se, alleged that Respondent Raymond S. Rosso ("Rosso"), who worked for So

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sandra Jones, Claimant, v. No. 95-01155 Dean Witter Reynolds, Inc., and Merrill Lynch, Pierce Fenner & Smith, Inc., Respondents. REPRESENTATION OF PARTIES Claimant Sandra Jones was represented by Seth Lipner, Esquire and Herbert M. Deutsch, Esquire both of Deutsch & Lipner located in Garden City, New York. Respondent Dean Witter Reynolds,

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Steel Industries, Inc.; and Paul A. Sakmar and Name of Respondents Kidder, Peabody & Company, Inc.; Paine Webber, Inc.; and Michael E. Simmers NASD Case Number: 95-01154 REPRESENTATION OF PARTIES Claimants Steel Industries, Inc. and Paul A. Sakmar were represented by Roger K. Timm, Esq. of Dykema Gossett located

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Fred and Virgina Sue Horn NASD Arbitration No. 95-1153 Nan*s of Respondents A. G. Edwards & Sons, Inc., and Kevin Caprio REPRESENTATION For Claimant: Fred Horn, in pro per For Respondent: Jeff Jamieson, Esq., A.G, Edwards & Sons, Inc., St. Louis, Missouri CASE INFORMATION Statement of Claim filed: March 6, 19

t Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Candy Albano Case No. 00-04600 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Candy Albano, hereinafter referred to as "Claimant": Gary W. Pollack, Esq., Coral Gables, Florida. For Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill"), hereinafter referred to

N.A.S D AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Richard J. & Carolyn Ann Scioscia 95-01147 Name of Respondent Fidelity Brokerage Services, Inc. REPRESENTATION For Claimants Richard J. and Carolyn Ann Scioscia ("the Scioscias"): Lawrence Schechterman^ of Securities Arbitration Recovery, Inc., of Boca Raton, Florida, and Jeffrey Kahn of Securities Arbitration Consultants, Inc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Thomas A. Honeycutt James R. Hill 95-01142 Name of Respondent James Mitchell & Co. REPRESENTATION For Claimant, Thomas A. Honeycutt ("Honeycutt"): pro se. For Claimant, James R. Hill ("Hill"): pro se. For Respondent, James Mitchell & Co. ("JMC"): Richard A. DuRose of Foley & Lardner, Orlando, Florida and Pamela R. Sch

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William & Mary Mahoney 95-01135 Name of Respondents James W. Bullard J.W. Bullard & Co. REPRESENTATION Claimants William & Mary Mahoney ("Claimants") appeared pro se Respondent James W. Bullard and as representative for J.W. Bullard & Co. ("Respondents") appeared pro se CASE INFORMATION Statement of Claim filed Mar