N.A.S.D. AMENDED AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants William H. Lowery and Judith H. Lowery 95-00679 Name of Respondents Smith Barney Shearson, Inc. Jeffrey W. Jones First Montauk Securities Corp. A.T. Brod & Company, Inc. REPRESENTATION For Claimants: Kalju Nekvasil, Esq. of the Law Offices of Goodman & Nekvasil, Safety Harbor, FL, For Respondent A. T. B

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Corporate Securities Group, Inc. 95-00671 Name of Respondent Spencer Saffran CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 9, 1995, Claimant Corporate Securities Group, Inc., through its representative, Gregory Tendrich, Esq., in-house counsel, Boca Raton, FL, alleged that R

NASD REGULATION AWARD 95-00667 In the Matter of the Arbitration Between Name of Claimant Robert H. Gale Name of Respondents Nicholas M. Antorielli Stratton Oakmont, Inc. REPRESENTATION Claimant Robert H. Gale ("claimant") appeared pro se. Respondent Nicholas M. Antondli ("Antonelli") appeared pro se. Respondent Antonelli was previously represented by Gregg R. Evangelist, Esq., with law offices located in Jericho, New York. For respon

, ' N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edgar T. and Joan M. Roesch 95-00663 Name of Respondents Vision Investment Group,Inc. Thomas S. Marinovich CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 8, 1995 Claimants Edgar T. and Joan M. Roesch ("Claimants"), who appeared Pro Se, alleged that they held an account

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Shirley A. Fialkowski Elizabeth Fialkowski 95-00662 Name of Respondent Jimmy Burns CASE SUMMARY In a claim filed with the National Association of Securities. Dealers, Inc., on February 6, 1995, Claimants, Shirley A. Fialkowski and Elizabeth Fialkowski, who appeared Pro Se, alleged that Respondent, Jimmy Burns, an employee

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ft of laimants Joe David Bogle and Mary A. Bogle 95-00661 Name of Respondents Robert F. Craig Betty Jean Avery REPRESENTATION Claimants Joe D. and Mary A. Bogle ("Claimants") appeared pro se. Respondent Robert F. Craig ("Craig") did not enter an appearance at the hearing. Respondent Betty Jean Avery ("Avery") did not enter an appearance at

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Shirley A. Beers, Claimant v. Mark Bussey and Prudential Secunties Incorporated, Respondents Case Number: 00-03842 Hearing Site: Portland, Oreson REPRESENTATION OF PARTIES For Claimant: Cecil B. Strange, Esq. Portland, Oregon For Respondents: Charles B. LaChaussee. Esq. Prudential Securities Incorporated San Francisco, California CASE INFORMATION Statement of C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) James W. Sulek Mildred Cole Sulek NASD Arbitration No. 95-00660 Name of Respondent(s) Olde Discount Corporation REPRESENTATION For Claimants: James W. Sulek, Seattle, Washington For Respondent: Lisa S. Fildes, Esq., Olde Discount Corporation, Detroit, Michigan CASE INFORMATION Statement of Claim filed

- N.A.S.D. AWARD ' NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marie K. Nachman 95-00654 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Saly Classman Lawrence Ettenger REPRESENTATION For Claimant Marie K. Nachman ("Claimant"): appeared pro se. For Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch"), Saly Glassman ("Classman") and L

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Gordon W. and Layne G. Carlson 95-00653 Name of Respondent Hayne, Miller Financial, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about February 7, 1995, Gordon W. Carlson and Layne G. Carlson ("Claimants"), who appeared Pro Se', alleged that they were introduced b