N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant*"s) H. Harold Hart 95-00085 Name of Respondents) Merrill Lynch Pierce Fenner & Smith Inc David Middleton Charles Hoffman Pam Shine Barry Doering REPRESENTATION Claimant, H. Harold Hart ("Hart") was pro se. For Respondents Merrill Lych Pierce Fenner and Smith, Inc. ("Merrill"), David Middleton ("Middleton"), Char

FINAL ORDER NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between James H. Schreiber, Patricia B. Schreiber, Craig Franzen, Robert C. James, Robert H. Liebl and Helen J. Liebl, Claimants, and No. 95-00080 H. Beck, Inc. Respondent. REPRESENTATION OF PARTIES Claimants James H. Schreiber, Patricia B. Schreiber, Craig Franzen, Robert C. James, Robert H. Liebl and Helen J. Liebl (collectively referred to as "

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Domenic Stimma 95-00079 Name of Respondents Amerinational Financial Services,Inc. Peter A. Provence REPRESENTATION For Claimant, Domenic Stimma ("Claimant"), Gerald E. Marcus, Esq. located in Hamden, CT. For Respondents, Amerinational Financial Services, Inc. ("Amerinational") and Peter A. Provence ("Provence"), collectivel

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rochelle Flink Michael Flink Robert Flink 95-00074 Name of Respondent Doug Getzke REPRESENTATION Claimant appeared pro se. For Respondent: Edwin A. Zipf, Esq. from the law firm of Bressler Amery & Ross, Morristown, NJ CASE INFORMATION Statement of Claim filed: January 5, 1995 Claimant, Rochelle Flink's Submissi

FINAL ORDER NASD Regulation, Lie. Office of Dispute Resolution In the Matter of the Arbitration Between Joesph G. A&her Qairaant, v. No. 95-00073 Dean Witter Reynolds, Inc., and Douglas B. Misantcmi Respondents. REPRESENTATION OF PARTIES Claimant Joseph G. Asher ("Claimant") was represented by Steven E. Stem, Esq. of Stern & Dcvitt located in Chicago, Illinois. Respondents Dean Witter Reynolds, be. ("Dean Witter") and Douglas B. Misanton

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. v. Case No. 95-00071 Name of Respondent Christopher L. Hessert REPRESENTATION For Claimant, PaineWebber, Inc., David W. Schmidt, Esq. located in New York, New York. For Respondent, Christopher L. Hessert, Joseph Keenan, Esq. of Bochat and Keenan located in Garden City, New York. CASE INFORMA

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Price G. Martin 95-00065 Name of Respondent Dean Witter Reynolds, Inc. CASE SUMMARY En a claim filed with the National Association of Securities Dealers, Inc. on January 4, 1995. Claimant Price G. Man in, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. did not properly follow his instructions to sell sto

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: C.O. Brown and Doris A. Brown, Claimants v. A.G. Edwards & Sons, Inc. and Jerry Beto, Respondents Case Number 00-03760 Hearing Site: Salt Lake City, Utah REPRESENTATION OF PARTIES For Claimants: C. O. and Doris A. Brown In Pro Per Caldwell, Idaho For Respondents; Phyllis A. Hartrich A.G, Edwards & Sons, Inc. St. Louis, Missouri CASE INFORMATION Statement of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Standard Aromatics, Inc., Pension Plan 95-00060 Name of Respondents Reich & Co., Inc. Steven Seffren REPRESENTATION For Claimant: Standard Aromatics, Inc., Pension Plan ("Claimant"), did not appear at the evidentiary hearing conducted in this matter. For Respondent: Reich & Co., Inc. ("Reich"), appeared, Eric J. Shames, Esq

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Charles P. Deegan, Executor of the Estate of Zelda T. Westlake 95-00059 Name of Respondents Shearson Lehman Brothers, Inc. PaineWebber, Inc. Henry James FaragalK REPRESENTATION Claimant Charles P. Deegan, Executor of the Estate of Zelda T. Westlake ("Claimant") was represented by Marcy C. Panzer, E