NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between City of Joplin, Missouri, Claimant. v. No. 95-00319 Westcap Securities, L.P M Westcap Securities Management, Inc., Westcap Government Securities, Inc., and Westcap securities. Inc., Respondents. ftEPRESENTATIpN OF PARTIES City of Joplin, Missouri ("Claimant") was represented by W. Perry Brandt, Esq., of Stinson, Mag & Fizzell, P.C

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between American Express Financial Advisors, Inc., and IDS Life Insurance Company Claimants and Counter-Respondents, v. No. 95-00315 Darryl Witkowski, and A.G. Edwards & Sons, Inc. Respondents and Counter-Claimants, REPRESENTATION OF PARTIES Claimants and Counter-Respondents American Express Financial Advisors, Inc. and IDS Life Insurance Company ("

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In [he Matter of the Arbitration Between Name of Claimant Dennis G. Biggs 95-00310 Name of Respondents Richard J. Blumette L.C. Wegard & Co.. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 20, 1995, Claimant Dennis G. Biggs {"Claimant"), who appeared Pro Se, alleged that Respondent L.C. Wegard & Co., Inc. {"LCWC"), through R

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03798 Robert J. Doran, Claimant vs. Scott A. Nash, and J.B. Oxford & Co., Respondents. ATTORNEYS: Claimant, Robert J. Doran ("Claimant") appeared Pro Se, Monroeville, PA. For Respondents, Scott A. Nash and J.B. Oxford & Co. ("Respondents"), appeared Scott G. Monson, Beverly Hills, CA. DATE FILED: August 31, 2000. CASE SUMMARY: Claimant alleged Respondent Nash failed to determine Cl

N.A.S.D. AWARD RECEIVED NATIONAL ASSOCIATION QF SECURITIES DEA T rPP s , T N r OCT 3 0 1995 In the matter of the Arbitration Between ....„ ,„ WHwumv JDW M Name of Claimant Jeff Markey v. NASD Arbitration No. 95-00309 of Respondent Lew Lieberbaum & Co., Inc. REPRESENTATION For Claimant: Virginia Hoyt, Esq. For Respondent: Lawrence P. Sandor, Esq., Lew Liebeibaum Co., Inc. Garden City, Ne

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Amrit N. Achari 95-00306 Names of Respondents Olde Discount Corporation Michael S. Clements Daniel Garcia REPRESENTATION Claimant, Amrit N. Achari was represent by Dale L. Trimble, Esq., Sole Practitioner, located in Houston, TX. Respondents, Olde Discount Corporation, Michael S. Clements, and Daniel Garcia were rep

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Michael P. Nemlich, Claimant, and No. 95-00298 Hamilton Investments, Inc., Respondent, REPRESENTATION OF PARTIES For Claimant: Michael P. Nemlich ("Nemlich") was represented by Mitchell B. Katten, Esq., Michael J. O'Rourke, Esq., Thomas G. Griffin, Esq., and Robert J. Labate, Esq., of O'Rourke & Griffin, located in Chicago, Illinois. For Res

NATIONAL ASSOCIATION OF SECURITIES DEALERS N.A.S.D. AJVARD Dra In the Matter of the Arbitration Between Name of Claimants James and Rosemary O'Connell Name of Respondent Metropolitan Life Insurance Company 95-00297 CASE SJUMkARI In a claim filed with the National Association of Securities Dealers, Inc. on January 20, 1995, Claimants James and Rosemary O'Connell ("Claimants"), who| appeared Pro Se, alleged that the Respondent Metropolitan

N.A.S.D. AV NATIONAL ASSOCIATION OF SECURITIES In the Matter of the Arbitration Between Name of; Claimant John H. Yaworski Name, of Respondents Robert J. Judge, Jr. Edwin Bell M. Rimson & Co.,Inc. r ARD DEALERS 95-00295 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc., on January 19, 1995, Claimant, John H. Yaworsld, who appeared Pro Se, alleged that Respondents, M. Riimon & Co., Inc

N A.S D, AW In the Matter of the Arbitration Between Name of Claimant Mary Kay Hardy Name of Respondents Advest, Inc. Dennis P. Marinich 95-00294 CASE SUMMAI Y In a claim filed with the National Association of Securities Dealers, Inc. on January 20, 1995, Claimant, Mary Kay Hardy ("Hardy"), who appeared Iro Se, alleged that on January 1, 1990, Respondent Dennis P. Marinich ("Marinich"), an employe solicited the purchase by Claimant of 10