AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Michael A. Jirete, Claimant, v. No. 95-01055 Dickinson & Company, Respondent. REPRESENTATION OF PARTIES Claimant Michael A. Jirele was represented by Paul N. Young of Securities Arbitration Group, Inc. located in Marina Del Ray, California. Respondent Dickinson & Co. was represented by Kasey M. Kincaid, Esquire of Faigre & Benson and Barbara

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Christian V. Marcussen Trust 95-01050 Name of Respondents Kennedy, Cabot & Company Allison B. Clago CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 28,1995, Claimant Christian V. Marcussen Trust ("Claimant"), through its representative, Christian V. Marcussen, alleged that

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mukund L. Vasa 95-01045 Name of Respondents Prudential Securities, Inc. Sam Cornelius CASE SUMMARY ("^ In a claim filed with the National Association of Securities Dealers, Inc. on February 28, 1995, Claimant Mukund L. Vasa, through his representative, William S. Shepherd, Esq., located in Houston, TX, alleged that Responde

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Joseph J. Dydio and Case Number 95-01041 Prudential Securities, Inc., and Mark Andrus REPRESENTATION OF PARTIES Claimant Joseph J. Dydio ("Claimant") was represented by Paul J. Sussman, Esq. of the Law Offices of Paul J. Sussman, located in Chicago, Illinois. Respondent Prudential Securities, Inc. ("PSI") and Respondent Mark Andrus ("Andrus") were r

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Mark A. Beiler Mona A. Henri Case No. 00-04595 Names of Respondents Prudential Securities, Inc. Roger Lynn Overby Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Mark A. Beiler ("Beiler") and Mona A. Henri ("Henri"), hereinafter collectively referred to as "Claimants": Robert Persante, Esq. of Persante & McCormack, P.A., Clearwa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paul Wong 95-01035 Name of Respondent Stratton Oakmont Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 27, 1995, Claimant Paul Wong, who appeared Pro Se, alleged that Respondent Stratton Oakmont, Inc. sold his Dr. Pepper/Seven Up ("DPS") stock without authorization. Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paul Wong 95-01034 Name of Respondent Stratton Oakmont, Inc. CASE SUMMARY In a claim filled with the National Association of Securities Dealers, Inc. on February 27,1995, Claimant, Paul Wong, who appeared Pro Se, alleged that Respondent, Stratton Oakmont, Inc., purchased stock for.his account .without authorization. Claimant fu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Claude and Donna Jo Thompson Individually and as Trustees UTA DTD 2/5/91 95-01029 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Thomas A. Blubaugh REPRESENTATION For Claimants: Allan J. Fedor, Esq. and Franell Fedor, Esq. of the law firm of Fedor & Fedor, Largo, Florida. For Respondents: Scott J. Link

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Mary Dolshun v. 95-01026 Name of Respondents M. Rimson & Company, Inc, Chris Kovacevich REPRESENTATION Claimant, Mary Dolshun, appeared pro se. Respondents, M. Rimson & Company, Inc. and Chris Kovacevich, did not appear at the evidentiary hearing conducted in this matter. PSFQRMATIQN Statement of Claim filed: March 20,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 95-01011 Name of Respondent Scott R. Beard REPRESENTATION For Claimant: Joseph F. Generelli, Esq., of PaineWebber Incorporated, of Weehawken, New Jersey. The Respondent appeared pro se. CASE INFORMATION Statement of Claim filed: February 27, 1995. Claimant's Submission Agreement signed on: February