NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Donald R. & Rosena Bell and 94-01826 Name of Respondent Prudential Securities, Inc., Daniel Zessinger, and Sandra Logay REPRESENTATION OF PARTIES Claimant's Donald and Rosena Bell ("Claimant's") were represented by Steven H. Akre, Esq., of Lewis, Rice & Fingerish, located in St. Louis, MO. Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Paul Giacini, Claimant, -vs- Case Number: 94-01819 Sherwood Securities Corp., Respondent. For Claimant Paul Giacini ("Claimant"), Jeffrey L. Liddle, Esq. from the law firm of Liddle, Robinson & Shoemaker located in New York City. For Respondent Sherwood Securities Corporation ("Respondent"), Thomas J. McCabe, Esq., New York City. CASE INFOR

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name jf Claimant S. N. Phelps & Co. Name of Respondent 94-01817 Geneva Securities, Inc. Name of Third Party Respondent Miller, Johnson & Kuehn, Inc. M REPRESENTATION For Claimant S.N. Phelps & Co., ("Claimant") appeared George W.M. Thomas, Esq., Vice President and General Counsel of S.N. Phelps located in Greenwich, Connecticut. For Res

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Name of Claimants NASD Arbitration Richard and Justine Holme No. 94-01815 V. Name of Respondents Smith Barney Shearson. Inc. Gary Handler REPRESENTATION Claimants were represented by John J. Gilligan, Esq., Gyler, Gilligan and Osborn, Long Beach, California Respondents were represented by Sean J. Coughlin, Esq., Smith Barney, Inc.. New York, New Yor

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Teri Kahn Cohen; Ludwig Kahn, TTEE/Dianna Kahn Trust; Ludwig Kahn, TTEE/Heidi Kahn Trust; Ludwig Kahn, Randolph Kahn; Theodore L. & Lillian Kahn Joint Trust; Morris Katz; John Persa and 94-01812 Name of Respondents Oppenheimer & Company, Inc. Patrick Jage REPRESENTATION OF PARTIES Teri Kahn Cohen, Ludwig Kahn, TTEE/D

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Howard C. Chiten Award # vs. 94-01809 Name of Respondents A.S. Goldmen & Co. Robert Langsam REPRESENTATION For Claimant, Howard C. Chiten ("Claimant"), Edwin R. Chyten, Esq., Esq., located in Chestnut Hill, Massachusetts. For Respondent, A.S. Goldman & Company ("A.S. Goldman"), Roger Crane, Esq. and Toclci B. Marcus

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between «, Mark Scarmazzo, Claimant, vs. 94-01807 Frederick Moss and Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondents. REPRESENTATION Claimant, Mark Scarmazzo, appeared pro se. For Respondents, Frederick Moss and Merrill Lynch, Pierce, Fenner & Smith, Inc., Christopher Cavouti, Esq. CASE INFORMATION Statement of Claim filed: May 12,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mary H. Norch 94-01799 Names of Respondents Shearson Lehman Brothers, Inc., Smith Barney Shearson, Inc., Frederick Bobrek, Anthony Gilbert, and Rodney Gray REPRESENTATION Claimant, Mary H. Norch was represented by David Hilton, Esq. of El Paso, Texas. Respondents, Shearson Lehman Brothers, Inc. n/k/a Smith Barney Sh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Catherine Sheffield 94-01795 Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Scott M. Griswold REPRESENTATION For Claimant, Catherine Sheffield: Jane A. Sirak, Esq., West Palm Beach, Florida. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill"): David P. Ackerman, Esq. of the law firm of Acke

Award NASD Dispute Resolution in tne Matter ot tne Arbitration Between: Name of the Claimant Case Number: 01-03066 The William Shelley Trust Name of the Respondent Hearing Site: Boca Raton, Florida Salomon Smith Barney, Inc. REPRESENTATION OF PARTIES Claimant The William Shelley Trust ("Shelley") appeared pro se. For Salomon Smith Barney, Inc. ("SSB"), hereinafter referred to as "Respondent": Anne Parry, Senior Vice President, Associate General