N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mark Skiba 94-00176 Name of Respondents Gruntal & Co., Inc. Peter Bizinkauskas CASE SUMMARY In claim filed with the National Association of Securities Dealers, Inc. on January 17, 1994, Claimant Mark Skiba, who appeared Pro Se, alleged that Respondent Peter Bizinkauskas, through the Respondent firm Gruntal & Co., Inc., gave

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ralph F. and Florence W. Williams, JT TEN 94-00157 Name of Respondents A.G. Edwards & Sons, Inc. Edward Bowne CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 14, 1994, Claimants Ralph F. and Florence W. Williams, who appeared Pro Se, alleged that Respondent Edward Bowne ("

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Fred Zalatan 94-00099 Name of Respondents Matthews, Holmquist & Associates, Inc. Thomas Anthony Calise CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 7, 1994, Claimant Fred Zalatan, who appeared Pro Se, alleged that Respondent Thomas Anthony Calise ("Calise"), a broker at

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael A. Malamed 94-00095 Name of Respondent/ Third-Party Claimant Chapdelaine Corporate Securities & Company, Inc Name of Third-Party Respondent McFadden, Farrell & Smith, Inc. Representation For Claimant Michael A. Malamed ("Claimant") appeared George Brunelle, Esq. located in New York City, New York. For Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael Vuozzo 94-00085 Name of Respondents Thomas James Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 6, 1994, Claimant Michael Vuozzo, who appeared Pro Se, alleged that a broker at Respondent Thomas James Associates, Inc. sold from his account his stoc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants RAS Securities Corp.; Thomas James Associates, Inc.; Neidiger, Tucker, Bruner, Inc.; Sands Brothers & Company, Ltd.; World Securities Corporation; and Laffer Warren & Co., Inc. and 94-00080 Name of Respondent Walford & Company, Incorporated REPRESENTATION OF PARTIES RAS Securities Corp. ("RAS"); Thomas James Associates,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Charles W. Cobb, Jr. 94-00079 Name of Respondents PaineWebber, Inc. Charles Poulin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 5, 1994, Claimant Charles W. Cobb, Jr., through his representative Carl H. Lisman, of Lisman & Lisman, Burlington, Vermont, alleged that he de

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Milton A. and Ruth P. Tepiin 94-00076 Name of Respondents Hanover Sterling & Company, Ltd. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 5, 1994, Claimants Milton A. and Ruth P. Tepiin, who appeared Pro Se, alleged that they purchased 600 shares of Alter Sales Incorporated (

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Victoria L. Essenmacher 94-00056 Name of Respondents John Hancock Mutual Life Insurance Co. Keith L. Mohn Laurence F. Mohn CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 5, 1994, Claimant Victoria L. Essenmacher, who appeared Pro Se, alleged that Respondents General Ag

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Virginia Hay, Co-Executrix of the Estate of Joseph K. Beasley, Deceased and Mary B. Beasley, Widow, and as Co-Executrix of the Estate of Joseph K. Beasley, Deceased (Claimants) v. Salomon Smith Barney and Lawrence Gordon, (Respondents) Case Number: 00-03743 Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES Claimant Virginia Hay, Co-Executrix of the Es