NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Kevin Pfeifer, Claimant, v. No. 95-00970 Rhodes Securities, Inc., and James Lynn Marasco, Respondents. REPRESENTATION Of g ARTIES Kevin Pfeifer ("Claimant") was represented by Glenn D. Young, Jr., Esq., of Voting, Bogle, MCCausland, Wells & Clark, P.A., Wichita, Kansas. Rhodes Securities, Inc., ("RSI") and James Lynn Marasco ("Marasco") (

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant The Deukmedjian Revocable Family Trust 95-00967 Name of Respondents Marsh Block & Company Alfred G. Block Kenneth Marsh Martin M. Berk Elizabeth O. Simone Kevin M. Mahon REPRESENTATION For claimant, The Deukmedjian Revocable Family Trust ("claimant"), appeared Richard P. Swanson Esq., of the law firm Reid & Priest locat

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Paine Webber, Inc. 95-00963 Name of Respondent Todd W. Cowle Consolidated with In the Matter of the Arbitration Between Name of Claimant Edward Cowle 95-02419 Name of Respondent Paine Webber, Inc. REPRESENTATION For PaineWebber, Inc. (Claimant in 95-00963 and Respondent in 95-02419)("PaineWebber") appeared A. Inge Se'den, III, Esq., of t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Jeanette Williams Richard Williams Name of Respondents) Joseph W. Perley Stuart,Coleman & Co.,Inc. S* National Association of Securities Dealers, Inc. All' Rights Reserved 95-00961 REPRESENTATION The Claimants appeared pro se. For Respondents: Victor T. Sicuranza Executive Vice President and Director of Compli

N.A.S.D. REGULATION AWARD •NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Renate E. Knapp & Phillip W. Knapp, Jr. 95-00949 Name of Respondents First Albany Corporation Jeffrey A. West Timothy A. Meigher REPRESENTATION For Claimants Renate E. Knapp and Phillip W. Knapp, Jr. ("Claimants") appeared Robert Fitzpatrick, Esq. located in Albany, New York. For Respondents First Albany Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Phillip A. Jack 95-00942 Name of Respondent Dickinson & Co, CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 22, 1995, Claimant Philip A. Jack, who appeared Pro Se, alleged that Respondent Dickinson & Co., purchased securities for his account without authorization. Claimant

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 95-00937 Name of Respondent Travel Bane, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 22, 1995, Claimant, PaineWebber, Inc., through its representative and in-house counsel, Joseph F. Generelli, Esq., located in Weehawken, NJ, alleged that Respondent,

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant PaineWebber, Incorporated and 95-00935 Name of Respondent Ernest D. Olson REPRESENTATION OF PARTIES PaineWebber, Inc. ("Claimant") was represented by James L. Komie, Esq. of Schuyler, Roche & Zwirner located in Chicago, IL. Ernest D, Olson ("Respondent") was represented by Daniel P. Johnson, Esq., Sole Practitioner, locat

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:00-04582 Keith A. Covington and Kathleen A. Covington, JTTEN, claimants vs. TD Waterhouse Investor Services, Inc., respondent. ATTORNEYS: Claimants appeared pro se through Keith A. Covington, El Segundo, CA. For Respondent appeared John L. Erickson, Jr., Esq. of the firm Jones, Bell, Abbott, Fleming & Fitzgerald LLP, Los Angeles, CA. DATE FILED: October 16, 2000 CASE SUMMARY: Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mehdi Kazemi 95-00911 Name of Respondents Joseph Roberts & Co., Inc. Steve Toscano CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 21, 1995, Claimant, Mehdi Kazemi, who appeared Pro Se, alleged that Respondents, Steve Toscano ("Toscano") and Joseph Roberts & Co., Inc., act