N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Thomas H.Kline & Mary T. Kline, JTTEN 94-00043 Name of Respondents John E. Cheevers CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 4, 1994, Claimants Thomas H. Kline and Mary T. Kline, who appeared Pro Se, alleged that they opened an Option Account at Cheevers Hand & Ange

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marquez Knolls, Inc. 94-00031 Name of Respondents Kennedy, Cabot & Company Marquis Quetant Ken Mount CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 4, 1994, Claimant Marquez Knolls, Inc., through its representatives Gene Lachman & Ralph Yarro, alleged that Respondents

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nafne of Claimants Donald A. Ostrower 94-00025 Name of Respondents A. R. Baron & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 31, 1993, Claimant Donald A. Ostrower, who appeared Pro Se, alleged that prior to June 15, 1993 he opened an account with Respondent A. R. Baron & Co.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Leroy F. Perry 94-00024 Name of Respondents Charles Schwab & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 31, 1993, Claimant Leroy F. Perry, who appeared Pro Se, alleged that on April 2, 1991, he held 3,000 face value of Healthco International, Inc. 7% 2011 c

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert M. & Florine R. Morgan Revocable Trust, Robert M. Morgan, as Trustee 93-05395 Name of Respondent Merrill Lynch, Pierce Fenner & Smith Inc CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on December 28, 1993, Claimant Robert M. and Florine R. Morgan Revocable Trust, Rob

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ralph S. Coggovia 93-05388 Name of Respondents Hibbard Brown & Co., Inc. Michael Martone CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 30, 1993, Claimant Ralph S. Coggovia, who appeared Pro Se, alleged that he purchased 1000 shares of First National Realty Associates, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lilly Teich 93-05353 Name of Respondent Waterhouse Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 28, 1993, Claimant Lilly Teich, who appeared Pro Se, alleged that Respondent Waterhouse Securities, Inc. made an error when it confirmed to her that her order to

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Virginia M. Garrison 93-05327 Name of Respondents Smith Barney Harris Upham & Co., Inc. Daniel A. Petit CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 23, 1993, Claimant Virginia M. Garrison, who appeared Pro Se, alleged that Respondent Daniel A. Petit ("Petit"), a broke

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Suzanne R. Kowalski 93-05244 Name of Respondents McLaughlin, Piven, Vogel Incorporated CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 20, 1993, Claimant Suzanne R. Kowalski, through her counsel Neil M. Rose, Esq., Glen Ellyn, Illinois, alleged that she purchased a quantity o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Melvin W. and Rita Kroot 93-05226 Name of Respondents Fidelity Brokerage Services, Inc. CASE SUMMARY In a claim Filed with the National Association of Securities Dealers, Inc. on December 20, 1993, Claimants Melvin W. and Rita Kroot, who appeared Pro Se, alleged that they owned an unspecified number of Rogers Communication zer