N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp. 95-00148 Name of Respondent John Ives CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 10, 1995, Claimant GKN Securities Corp. ("Claimant"), through its General Counsel, Catherine Nathan, Esq., alleged that Respondent John Ives ("Respondent") as of his termi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph Klein and Eva Klein 95-00147 Name of Respondents Kirlin Securities, Inc. Bernard Cohen CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1995, Claimants Joseph Klein and Eva Klein ("Claimants"), who appeared Pro Se, alleged that Respondent Bernard Cohen ("Cohen"),

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Theresa Robeck 95-00146 Name of Respondents Scott P. Janke Dan Shrader Maven Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 10, 1995, Claimant Theresa Robeck, who appeared Pro Se, alleged that Respondent Scott P. Janke, on or about August 1, 1993, reco

1 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITY DEALERS In the Matter of the Arbitration Between Name of Claimant Nella Brainis 95-00144 Name of Respondents Legg Mason Wood Walker, Inc. and Octave J. "Todd" Francis Representation For Claimant: Nella Brainis was represented by Janet L. Moulton, Esq. of Janet Lee Moulton & Associates, located in Metarie, Louisiana. For Respondents: Legg Mason Wood Walker, Inc. and Octave J. "Todd" Fr

A S n AWAPn NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Park Nicollet Medical Foundation 95-00139 Names of Respondents Piper Jaffray, Inc. and Piper Capital Management, Inc. REPRESENTATION Claimant, Park Nicollet Medical Foundation was represented by Mark J. Briol, Esq. of Mark J. Briol & Associates, Minneapolis, Minnesota. Respondents, Piper Jaffray, Inc. and Piper Capital Managem

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Ronald L. Schuchman V. 00-03783 Denver, Colorado Respondents Dean Witter Reynolds, Inc., k/n/a Morgan Stanley Dean Witter, Inc. and Marc F. Rogers REPRESENTATION OF PARTIES Ronald L. Schuchman ("Claimant") was represented by William R. Rapson, Esq., of Welborn Sullivan Meek & Tooley, Denver, Colorado. Dean Witter Reynolds, Inc., k/n/a Morgan Stanley Dean

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Bernard B. Cohen 95-00138 Name of Respondents) Doft &Co., Inc. AlanDoft REPRESENTATION For Claimant Bernard B. Cohen ("Cohen") Mr. Howard S. Eilen, Esq. of Lehman & Eilen Uniondale, NY. For Respondents Doft & Co. and Alan Doft ("Doft"): Mr. Gary J. Mennitt, Esq. of Shereff, Friedman, et. al, New York, NY. CASE INF

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Lawrence C. Miller Eloise Miller 95-00134 Name of Respondents PaineWebber, Inc. Clarence Catallo, Jr. REPRESENTATION Claimants Lawrence C. Miller and Eloise Miller ("Claimants") were represented in part by Dennis Concilia, Esq., Columbus, OH and appeared pro se for the remainder of the hearing. Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants PaineWebber, Inc. 95-00133 Name of Respondents Angelo J. Mandarano REPRESENTATION For Claimant PaineWebber, Inc. ("Claimant"), appeared Scott S. Stechman, Esq. from the law firm of Smith Campbell & Paduano, located in New York, New York. For Respondent Angelo J. Mandarano ("Respondent"), appeared Vince Reppert, Esq. from the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Alien Landers and Allen Landers, trustee Allen Landers M.D., P.C. Retirement Plan and Trust 95-00131 Name of Respondents Royce Investment Group, Inc. John D. Higgins Edward Rose REPRESENTATION For claimants Allen Landers ("Landers") and Allen Landers, trustee Allen Landers M.D., P.C. Retirement Plan and Trust appea