NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Ronald C. Belcher and 94-02122 Name of Respondent A.R. Baron & Co., Inc. Gruntal & Co., Inc. Robert J. Gilbert REPRESENTATION OF PARTIfiff Ronald C. Belcher ('Claimant") was represented by Susan Bernhardt, Esq., Netzog & McKeever, P.C., Denver, Colorado. A.R. Baron & Co., Inc. ("Respondent A.R. Barotf) and Robert J. G

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Dennis W. Heatherly and Greg Newton and 94-02114 Name of Respondent Rodman & Renshaw. Inc. REPRESENTATION OF PARTIES Dennis W. Heatherly and Greg Newton (collectively as "Claimants") were represented by Peter S. Lubin, Esq., McConnell & Mendelson, Chicago, Illinois. Rodman & Renshaw, Inc. ("Respondent") was represented by Jo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Ginny Matthews NASD Arbitration No. 94-2113 Name of Resnondents Corporate Benefit Securities, Inc., Robert B. Coe, William Brad Stout, William Edward McClendon, Leonard Kahn, Russell Alan Smith, Jon Joseph Hanousek, Weldon A. Gibson, Steven L. Peeler, and Jonathan Peter Bobolia. REPRESENTATION For Claimant: William F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Marianne Birkholz vs. NASD Arbitration No. 94-02109 Name of Respondent PFS Investments Edwin Edebiri Rusty Crossiand and Related Actions REPRESENTATION For Claimant: David M. Greenberg, Esq., San Francisco, California For Respondents PFS Investments and Rusty Crossiand: Samuel A. Keesal, Jr., Esq. and Lisa

N.A.S.D. AWARD RATIONAL ASSOCIATION OF SECURITIES PEA! F.RS. INC1 In the matter of the Arbitration Between Frances E. Meyer, Trustee, Floyd 8C Fiances Meyer Family Trust B NASD Arbitration v. No. 94-02108 Name of Respori(fcnr(j) Gene Morgan Gene Morgan Financial For Claimant: Rory R. Wicks, Esq., San Diego, California For Respondents: Robert E. Birne, Esq., Olsoo Gibbons Sartain Nicoud Birne & Sussman, L.L.P., Dallas, Texas C

AWARD NASD REGULATION. INC. In the Matter of the Arbitration Between Name of Claimant Sargis Khoobiar Case No. vs. 94-02106 Name of Respondents Gruntal & Co.. Inc. Michael Herman REPRESENTATION' For Claimant. Sargis Khoobiar ("Claimant"), Morton Minsiey, Esq.. located in New York. New York. For Respondent. Gruntal & Co.. Inc. ("Gruntal"), Harry Frisch. Esq. in-house counsel at Gruntal located in New York. New York. For Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sean K. Fitzpatrick 94-02104 Name of Respondents Valley National Investments, Inc. Thomas M. Riddle REPRESENTATION For Claimant Sean K. Fitzpatrick ("Claimant"): Timothy F. Demers, Esq. of the lav firm of Stevens & Lee. For Respondents Valley National Investments, Inc. and Thomas H. Riddle: Thomas M. Riddle, President o

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard J L Pistone Claimant(s) vs. 88-01920 Profile Investments, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Richard J. Pistone alleged that Respondent Profile Investments, Inc. negligent grossly mishandled Claimants account with Respondent brokerage firm. Respondents deny all allegations made by Claimant. REL

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Anne Zajac ) ) Claimant ) and ) AWARD ) Case No. 88-01918 Merrill Lynch Pierce Fenner & Smith, Inc.; ) Prudential Bache Securities, Inc. ) Respondent(s) ) ) CASE SUMMARY Anne Zajac, Claimant, alleges that Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent Merrill") and Prudential Bache Securities, Inc. ("Respondent Bache") purc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roger Coe, (Claimant) vs. Tucker Anthony Incorporated, Thomas J. Nash, Robert M. Carlson, and Marc Menchel, (Respondents) Case Number: 01-03152 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Roger Coe, hereinafter referred to as "Claimant": Geoffrey W. Millsom, Esq., Adler Pollock & Sheehan P.C., Providence, RI. Respondents, Tucker Anthony Incorporated (