N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bradley E. Tate 93-02081 Name of Respondent Michael S. Azrak CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 25, 1993, Claimant Bradley Tate, who appeared Pro Se, alleged that Respondent Michael Azrak, who was employed by Reynolds Kendrick Stratton, failed to transfer the Claimant'

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barbara Pond 93-02075 Name of Respondent Judson Booth CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 25, 1993, Claimant Barbara Pond, who appeared Pro Se, alleged that Respondent Judson Booth of the firm Dean Witter Reynolds, Inc. made a costly mistake when he sold 800 shares of I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Deborah J. Ervin 93-02072 Name of Respondents Dean Witter Reynolds, Inc. Conway Brock, Jr. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 25, 1993, Claimant Deborah J. Ervin, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc., through its registered repres

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Nella K. Brainis 93-02067 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Edward Joseph Carney, in CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 20, 1993, Claimant Nella K. Brainis, who was represented by Barry H. Alper of Securities Arbitration Consultants, I

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Raj Bhushan & Usha Sood 93-02066 Name of Respondent^ PaineWebber, Inc. David R. Striplin REPRESENTATION For Claimants Raj Bhushan and Usha Sood: Robert B. Eubank, Esq., Birmingham, AL. For Respondents PaineWebber, Inc. and David R. Striplin: A. Inge Selden, Esq. of the law firm of Maynard Cooper and Gale, P

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sara Devine 93-02058 Name of Respondent Kidder, Peabody & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 24, 1993, Claimant Sara Devine, who appeared Pro Se, alleged that Respondent Kidder, Peabody & Co., Inc., through its former broker, Tim Sheehan, misled her into beli

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03689 Joyce J. Edwards, Claimant vs. WM Financial Services, Inc., Andrew Stout, Hans Henselman, and Marvin Scofield, Respondents. ATTORNEYS: Claimant, Joyce J. Edwards, ("Claimant"), appeared Pro Se., Oakland, CA. Respondents, WM Financial Services, Inc., Andrew Stout, Hans Henselman and Marvin Scofield (collectively "Respondents") appeared through Scott J. Stilman, Esq., and Sherrill

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Albert I. Weisskopf vs. Award #93-02025 Name of Respondents Butcher & Singer, Inc. Wheat First Securities, Inc. Butcher & Company Estate of Howard Butcher, HI McBee Butcher Jonathan Butcher - REPRESENTATION For Claimant: Pro Se. For Respondent: Joseph J. Dougherty, Esq. located in West Chester, Pennsylva

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jay K. and Mary C. Desch 93-02020 Name of Respondent Ribband Brown & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 20, 1993, Claimants Jay K. and Mary C. Desch, who appeared Pro Se, alleged that Mr. McAlexander, an employee and representative of Respondent Hibbard Brow

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Lu Nell Barnett Johnson and 93-02017 Name of Respondents Capital Investment Managers, Inc. Camden Coberly a, and F. Gregory Smith REPRESENTATION OF PARTIES Lu Nell Barnett Johnson ("Claimant") was represented by Carl Barnhart, Esq, Fort Worth, Texas. Capital Investment Managers, Inc. and F. Gregory Smith ("Respondents