N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ John E. and Vicky Vermeulen 95-00464 Name of Respondent^ Mark Simpson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 30, 1995, Claimants John E. Vermeulen, Sr. and Vicky Vermeulen, who appeared Pr Se, alleged that Respondent Mark Simpson sold them an investment which was not

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Harry H. Eickemeyer 95-00462 Name of Respondent Kernper Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 30, 1995, Claimant Harry H. Eickemeyer ("Claimant"), who appeared Pro Se, alleged that Respondent Kemper Securities, Inc., ("Respondent"), through its repres

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gary R. Becklund 95-00453 Name of Respondents Hayne, Miller & Farm, Inc. Todd P. Anderson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 27, 1995, Claimant Gary R. Becklund, through his representative, James B. Fleming, Esq., of Monticello, MN., alleged that Respondents Ha

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Terrell R. Holtzclaw Award 95-00452 Name of Respondents Biltmore Securities, Inc. Clifford J. Berman Arnold Roseman Richard Bronson Elliot Lowenstein CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 27, 1995, Claimant Terrell R. Holtzclaw, through his representat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mark and Donna Link 95-00451 Name of Respondent Shearson Lehman Brothers, Inc. n/k/a Smith Barney, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 27, 1995, Claimants Mark and Donna Link, who appeared Pro Se, alleged that Respondent Shearson Lehman Brothers, Inc. n/k/

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Irene Seiden 95-00448 Name of Respondent} Dean Witter Reynolds Inc. Dean Witter Distributors Inc. Dean Witter Trust Co. Inter capital Quality Municipal Securities REPRESENTATION For Claimant, Irene Seiden, appeared Fredrick H. Mandel, Esq., Mandel & Mandel, New York City, New York. For Respondents Dean Witter Reynol

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Michael L. Dorsey & Lori Dorsey Name of Respondents Frederick Wiegand, Jr. Chatfield Dean & Co.,Inc. Shelley A. Jones, Jr. 95-00445 REPRESENTATION Claimants Michael L. and Lori Dorsey ("Claimants") appeared pro se. Respondent Frederick Wiegand, Jr. ("Wiegand") appeared pro se. Respondent Shelley A

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Stephen T. Rangen v. Arbitration No. 95-00444 Name of Respondent Gilford Securities, Inc. and Lawrence Wachler and Ralph Worthington REPRESENTATION For Claimant: Stephen T. Rangen In Pro Per Los Angeles, California For Respondent: Robert A. Uhl, Esq. Robert A. Uhl, Inc. Beverly Hills, California CASE INF

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rimma and Leonid Sherman 95-00443 Name of Respondent Michael Bolotin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 27,1995, Claimants Rimma and Leonid Sherman, who appeared Pro Se, alleged that Respondent Michael Bolotin, while employed at A.T. Brod & Co., promised to earn 3

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03816 Tearsa L. Black, Claimant vs. Magna Securities Corp. and Patricia Winans, Respondents. ATTORNEYS: For Claimant, Tearsa L. Black ("Claimant"), appeared William T. Marshall, Esq., of the law firm of Zechner Ellman & Krause, LLP, Newark, NJ. For Respondents, Magna Securities Corp. ("Magna") and Patricia Winans ("Winans"), appeared Adam C. Silverstein, Esq. of the law firm of Golenbo