Award NASD in the Matter ol trie Arbitration Between: Name of the Claimant Case Number: 01-03176 Steven 1. Hershkowjiz Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. Michael Arundel REPRESENTATION OF PARTIES For Steven 1. Hershkowitz ("Hershkowitz"), hereinafter referred to as "Claimant": Kim Steven 3uhase ? Novak & Juhase, Roseland, New Jersey. For Morgan Stanley DW, Inc. ("MSDW") and Michael Arun

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David J. Vogt 94-02225 Name of Respondent Fidelity Brokerage Services REPRESENTATION For Claimant/Counter-Respondent: David J. Vogt ("Vogt") appeared pro se at the hearing. For Respondent/Counter-Claimant: Fidelity Brokerage Services ("Fidelity") was represented by Dennis K. Egan, Esq. of Butzel Long, located in Detroit, Michig

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS • In the Matter of the Arbitration Between Name of Claimant^ s) Peter and Kiyomi Van Asperen 94-02220 Name of Respondents) Kim Nazarek Dan Stockemer For Claimants: Peter Van Asperen, Santa Rosa, California For Respondents: Colleen C. Hammer, Esq., Ed Zusman, Esq., Zelle and Larson, for Respondent Kim Nazarek Respondent Dan Stockemer represented himself. CASE INFORMATION St

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jane Lake Porter, individually and as Trustee of the Jane Lake Porter Revocable Trust and 94-02218 GRF Capital Investors. Inc.. Capitoi Hedge Partners. Garv R. Fishel. Jim A. Turley. Rauscher Pierce Refsnes. Inc. and Regional Operations Group REPRESENTATION OF PARTIES Claimants, Jane Lake Porter individually and as Trustee of the Jane Lake Po

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name.of Claimant Robert M. Shydo 94-02209 Name of Respondent Investors Asset Management, Inc. REPRESENTATION^ For Claimant: Robert M. Shydo ("Shydo"): Phillip J. Snyderburn, Esq. of Synderburn, Rishoi & Swann, Winter Park, Florida. For Respondent: Investors Asset Management, Inc. ("LAM"): Wm. Scott Lindsey, Esq. of Lindsey & Williams, P.A.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS (n the Matter of the Arbitration Between Name of Claimant Prudential Securities Inc. 94-02301 Name of Respondent Paul J. Mauser CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 16, 1994, Claimant Prudential Securities Inc. ("PSI"), through its representative and in-house counsel, Christopher Freeze, Esq., alleged that Respondent Paul J. H

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michele J. Difranza & Rita V. Difranza Award No. vs. 94-02299 Name of Respondents The Financial Consulting Group, Inc. William Mobilia, Sr. For Claimants, Michele J. DiFranza and Rita V. DiFranza, Individually and on Behalf of the Individual Retirement accounts for Michele J. and Rita V. DiFranza ("Claimants"), Elizabeth F. Ma

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between PaineWebber, Inc. Claimant NASD Arbitration v. No. 94-02298 Jay R. Rice Respondent REPRESENTATION OF PARTIES PaineWebber, Inc. ("Claimant") was represented by Alice K. Jump, Esq., PaineWebber, Inc., Weehawken, New Jersey. Jay R. Rice ("Respondent") was represented by William D. Nelson, Esq., Robinson, Waters, OTJorsio & Rapson, Denver, Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Melba L. White 94-02287 N,ajne 9f Respondents Prudential Securities, Inc. Ronald Long CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 16, 1994, Claimant Melba L. White, who appeared Pro Se, alleged that Respondent Ronald Long of the Respondent firm Prudential Securities, Inc.

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimant Legg Mason Wood Walker, Inc. and Name of Respondent Carl A. Grimstad NASD Case Number: 94-02280 REPRESENTATION OF PARTIES Claimant. Legg Mason Wood Walker was represented by Andrew J. Bowden, Esq. of Legg Mason Wood Walker, Inc., Baltimore, Maryland. Respondent, Carl A. Grimstad was represented by Harland L. Smith, Esq.,