N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Linda VanDyke POA for George W. Saunders 95-00231 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Rusty Clark CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 25, 1995, Claimant George Wade Saunders, who appeared Pro Se, alleged that in 1992 he opened an account

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Kenneth A. Bradley Gwen A. Bradley Gay Ann Slozat Karen M. Hamilton Robert M. Murray Case No. 00-03792 Name of Respondent PaineWebber, Inc. REPRESENTATION OF PARTIES For Kenneth A. Bradley, Gwen A. Bradley, Gay Ann Slozat ("Slozat"), Karen M. Hamilton ("Hamilton"), and Robert M. Murray ("Murray"), hereinafter collectively re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ronald H. and Claire E. Yogman 95-00230 Name of Respondents Raymond, James & Associates, Inc. Michael D. Baker REPRESENTATION For Claimants Ronald H. and Claire E. Yogman ("the Yogmans"): Eric E. Ludin, Esq. of Piper & Ludin, St. Petersburg, FL. For Respondents, Raymond James Associates, Inc. ("Raymond James") and Michael

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants 95-00229 Name of Respondents Lew Lieberbaum & Co., Inc. Barry S. Rabkin CASE SUMMARY In a claim Hied with the National Association of Securities Dealers, Inc. on January 16, 1995, Claimant, Jeffrey Orr and Nicola McFaull, who appeared Pro Se ? alleged that Respondents, Lew Lieberbaum & Co., Inc., and Barry S. Rabkin fe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rose LaValley 95-00225 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Edythe DeMarco CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 16, 1995, Claimant, Rose LaValley ("LaValley"), who appeared Pro Se, alleged that in late 1991, Respondent Edythe DeMarco ("D

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sylvia Strochak 95-00224 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Robert D. Player In a claim filed with the National Association of Securities Dealers, Inc. on January 16, 1995, Claimant Sylvia Strochak, who appeared Pro Se, alleged that Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Stephen E. & Terri J. Gurley 95-00223 Name of Resoondent(s) Olde Discount Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 16, 1995, Claimants, Stephen E. and Terri J. Gurley, who appeared Pro se, alleged that Respondent Olde Discount Corporation failed to follow th

NASD, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nanje qf Claimant Robert Hopp 95-00222 >fame of Respondent Josephthal Lyon & Ross, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1995, and a additional documentary submission filed on May 3, 1995, Claimant Robert Hopp ("Hopp"), who appeared Pro Se, stated that he maintained an account w

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimants Victor H. Fink and Sheila G. Fink 95-00220 Name of Respondents Richard N. Fredette; Thomas F. Reilly; Philip J. ELtman; Steven Leslie Eiunan; Glenn Edward Essert REPRESENTATION For Claimants: Victor H, Fink and Sheila G. Fink ("Fink") were represented by Arne R. Rode, Esq. of Chicago, Illinois. For Respondents; Rich

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Cara Marks v. Arbitration No. 95-00217 Name of Respondents D.H. Blair & Company, Inc., Lew Lieberbaum & Co., Inc. Michael Katz, Mark Ira Lew, Sheldon J. Lieberbaum, Leonard A. Nuehaus, and Anthony Jude Alagna REPRESENTATION For Claimant: Phillip Aidikoff, Esq. Aidikoff&Uhl Beverly Hills, California For Responden