N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Matthew Bradbury Marston 94-05056 Name of Respondents Gnmtal & Co., Inc. Barry Richter REPRESENTATION For Claimant Matthew Bradbury Marston ("Claimant") appeared Jeffrey Liddle, Esq. of Liddle & Robinson located in New York, NY. For Respondents Gruntal & Co., Inc. ("Gnmtal") and Barry Richter ("Richter") appeared Cather

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Chemical Securities, Inc. 94-04230 Name of Resoondent(s) MJ. Whitman L.P. REPRESENTATION For Claimant Chemical Securities Inc., ("Chemical Securities") appeared Stephen L. Ratner, Esq., of Rosenman & Colin located in New York, New York. For Respondent M.J. Whitman, L.P., ("Whitman") appeared Evan L. Gordon, Esq., located in N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Stefanos and Bernice Louise Petridis 94-04617 Name of Respondents) Keith Boyd REPRESENTATION The Claimants, Stefanos and Bernice Louise Petridis ("Claimants"), appeared Pro Se. For Respondent, Keith D. Boyd ("Respondent"), Dominick F. Evangelista, Esq., of the firm Bressler, Amery & Ross, located in Morristown, N.J. CASE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds, Inc. 94-03312 Name of Respondent Stephen L. Self CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 18, 1994, Claimant, Dean Witter Reynolds, Inc. ("Dean Witter"), through its counsel Dominick J. Dorata, Esq., New York, New York, stated that in February 1982,

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Mirta Sosa and Juan Del Come Case No. vs. 94-02617 Name of Respondents Merrill Lynch Pierce, Fenner & Smith, Inc. Rocia M. Gell REPRESENTATION For Claimants Mirta Sosa ("Sosa") and Juan Del Conte ("Del Conte") (collectively "Claimants"), appeared Malcolm Taub, Esq. of the firm Bizar Martin & Taub, LLP, located in New York, New York. For Respond

Case No. 94-03243 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stewart Sherman Name of Respondent Fahnestock & Co., Inc. Bruce Millman REPRESENTATION Claimant: Stewart Sherman ("Sherman"), appeared pro se. For Respondent, Fahnestock & Co., ("Fahnestock") and Bruce Millman ("Millman"), appeared Eric J. Shames, Esq., of the firm Fahnestock & Co., Inc. CASE INFOR

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mama of Claimants Noelita and Matthew McGlinchey 95-01774 N flU 1 ? fff Respondents Smith Barney Shearson, Inc. John F. Braca CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 11, 1995, Claimants Noelita and Matthew McGlinchey ("Claimants"), who appeared Pro Se, alleged that Respondents Smi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-03368 A.G. Edwards & Sons, Inc., claimant vs. Alan N. Wolf, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Norman S. Buckvar, Esq., St. Louis, MO Respondent Alan N. Wolf appeared Pro Se DATE FILED: July 23,1999 CASE SUMMARY: Claimant alleged that respondent failed to reimburse the prorated portion of fees advanced. Claimant further alleged that respondent owes addit

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Eileen Donohue 95-05585 Name of Respondents Wayne T. Drinkwine Prime Capital Services, I;;c. William Devine Michael P. Ryan Ralph A. Porpora For Claimant Eileen Donohue ("Donohue"), appeared John E. Lawlor, Esq., a sole practitioner located in Garden City, New York. Respondent Wayne T. Drinkwine ("Drinkwine") appeared pro se. For Respondents Pri

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Gary Steven Sprung 96-00699 Name of Respondent PaineWebber, Inc. REPRESENTATION For claimant Gary Steven Sprung ("claimant") appeared Sheldon Eisenberger, Esq. of The Law Office of Sheldon Eisenberger located in New York, New York. For respondent PaineWebber ("respondent") appeared Joel M. Leifer, Esq. of the law firm of Joel M. Leifer & Associates located in N