N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ R.A. Blass, P.H- Lawrence & M.P, Podber 95-00553 Name of Respondent^) Josephthal Lyon & Ross Inc. REPRESENTATION The Claimants appeared pro se. For Respondent Josephthal Lyon & Ross, Inc.: Robert E. Murphy, Esq., in-house counsel at Josephlhal Lyon & Ross, Inc. CASE INFORMATION Statement of Claim filed: February 2, 199

N-A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) David Michan Cheren, Trustee Trust No. 1987-1, Dated April 9, 1987 NASD Arbitration No. 95-00549 Name of Respondentfsl Olde Discount Corporation Thomas Kelly REPRESENTATION For Claimant: Dennis J. Wickham, Esq., Seltzer Caplan Wilkins & McMahon, San Diego, California For Respondents: David T. Doyle, Esq., O

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Jong Kung Su 95-00548 Name of Respondent(s) Investors Associates Inc. Nick Hua REPRESENTATION The Claimant, Jong Kung Su ("Claimant"), appeared Pro Se. For Respondent, Investors Associates, Inc. ("Investors"), Lawrence R. Gelber, Esq. of the firm Beigel Schy Lasky Rifkind Goldberg Fertik & Gelber, located in New York, N.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald R. Sutherland 95-00546 Name of Respondents Paul Johnson Thomas James Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 30, 1995, Claimant Donald R. Sutherland ("Sutherland"), who appeared Pro Se, alleged that Respondent Paul Johnson ("Johnson") while e

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David H. Adler 95-00545 Name of Respondents Gregg A. Rosenbaum Westfield Financial Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 1, 1995, Claimant David H. Adler, who appeared Pro Se, alleged that Respondents Westfield Financial Corporation ("WFC") and Gregg

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Scott Martone 95-00544 Name of Respondent Tom Oberle CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February l, 1995, Claimant Scott Martone, who appeared Pro Se, alleged that Respondent Tom Oberle, of Dean Witter Reynolds, Inc. misled him into purchasing TCW/DW EMO, which he was

< * N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Milton P. Smith 95-00543 Name of Respondents Prudential Securities, Inc. Ed Daniel CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 1, 1995 Claimant Milton P. Smith ("Claimant"), who appeared Pro Se, alleged that Respondents Prudential Securities, Inc. ("PSI"), and Ed Da

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Bruce Grossinger Case No. 00-03824 Morgan, Taylor & Associates, Inc. Craig A. Cory Gregory Small John Ludemann, Jr. Jamie M. Landes Fiserv Correspondent Services, Inc. Hearing Site: Philadelphia, PA OF Claimant, Bruce Grossinger ("Grossinger"), hereinafter referred to as "Claimant": Nicholas J. Guiliano, Esq., Attorney at Law, Philadelphia, PA. Respo

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Paine Webber, Inc. Arbitration No. v. 95-00539 Robert G. Linton REPRESENTATION OF PARTIES Paine Webber Inc. ("Claimant") was represented by Peter J. Bado, Esq., Paine Webber Inc., Los Angeles, California. Robert G. Linton ("Respondent") represented himself pro se. CASE INFORMATION Claimant's Statement of Claim was filed on or about January

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Charles A, Thurman, Claimant, and No. 95-00536 Southhampton Preferred Equities, Inc., Respondent. REPRESENTATION OF PARTIES Charles A. Thurman ("Claimant") appeared on his own behalf. Southhampton Preferred Equities, Inc. ("Respondent") failed to appear at the hearing. CASE INFORMATION Claimant's Statement of Claim was filed on or about F