N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward J. Kinsella 92-02139 Name of Respondents A.G. Edwards & Sons, Inc. Edward W. Gasper Robert O'Brien, Sr. For Claimant, Edward J. Kinsella ("Kinseila"): Jane A. Sink, Esq. For Respondents, A.G. Edwards A Sons, Inc. ("A.G.E"), Edward W. Gasper ("Gasper") and Robert O'Brien, Sr. ("O'Briea"): William S. Port, Esq. of

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Frances H. Nash, (Claimant) vs. Josephthal & Co., Inc., Michael Carreon, Kenneth Cerruto, Vincent Reinstein and James Hawryluk (Respondents). Case Number: 99-03213 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Frances H. Nash, hereinafter referred to as "Claimant": Timothy M. McDaniel, Esq., McDaniel & Allen, Houston, Texas. Respondents, Josephthal &

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kathleen J. Evola v. CCM Financial Corporation, Jeffrey A. Egan, Washington Square Securities, Inc., Seger Financial, Inc., Raymond James Financial Services, Inc., Investment Management & Research, inc., and Donald Joseph Whitton Case Number: 00-1095 -^ Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Claimant, Kathleen J. Evola, hereinafter referred to as "Claiman

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Maria Pa v I ides 92-02138 Name of Respondents Julie R. Hupp Derand/Pennington/Bass. Inc. REPRESENTATION Claimant Maria Paviides ("Claimant") represented herself. Respondent Julie R. Hupp ("Hupp") was represented by Steven R. Becker of the law firm of Semmes. Bowen & Semmes. Respondent Derand/Pennington/Bass, Inc. ("Der

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jimmy C. Cox Case No. 92-02137 N i ame of Respondent Merrill Lynch Pierce Fenner & Smith Inc REPRESENTATION For Claimant, Jimmy C. Cox ("Cox"): J. Reese Daniel, Esq. of Daniel & Daniel. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch"): Charles L. Henderson, Esq. of Merrill Lynch. CASE IN

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUKTITES DEALERS In the Matter of the Arbitration Between NauneorCJaimant Vincenzo Mure 92-02134 Name of Respondents GSG Global Securities Group, lac. Keith J. Buscemi CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 25, 1992, Claimant Vincenzo Mure, by and through his counsel Duane Totten, Esq. of McVane, Bellohuono, Kuzmak & Wiezalis, Har

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hsue Tung 92-02129 Name of Respondent Christopher L. DeDea CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 25, 1992. Claimant Hsue Tung, who appeared Pro Se. alleged that in April 1986 Respondent Christopher L. DeDea started to solicit business from Claimant whereby he

Arort ration V A S D AWARD National Associate .N.A.i.U. AWAKL) Sacuntiw 0*»»rs. NASD Financial Cent NATIONAL ASSOCIATION OF SECURITIES DEALERS p ™*«e™ Street New fork. N.Y. -OOG _—— =AX (212) 858-4389 In (he Matter of the Arbitration Between N'ame of Claimant!si Nesis Group Inc. and Susita Ltd PUBLIC 92-02117 Name of Respondent^) losephthal Lyon & Ross Jacob Sliapira REPRESENTATION For Claimants Nesis Group Inc.. and Susita L

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimaqt Joseph A. Maguire NASD Arbitration No. 92-02116 Najne of Respondent David Lutz REPRESENTATION For Claimant: In Pro Se For Respondent: In Pro Se CASE INFORMATION Statement of Claim filed: June 24, 1992 Claimant's Submission Agreement signed: November 26, 1991 Statement of Answer filed by Respondent: Septemb

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Cunningham Impl't Co. Profit SH TR 92-02109 Name of Respondent Prudential Securities. Inc. CASESTJMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 24, 1992. Claimant Cunningham Implement Company, by and through Robert Cunningham, alleged that Respondent Prudential Securities. I