N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-05315 William F. Dennis, claimant v. C. David Hughes and D. Scott Hogewood, respondents. ATTORNEYS: For Claimant Claimant appeared Pro Se - Long Beach, NY. For Respondent David Hughes appeared John S. Arrowood - Charlotte, NC. Respondent D. Scott Hogewood appeared Pro Se - Charlotte, NC. DATE FILED: November 29, 1996. CASE SUMMARY: Claimant alleged mis

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant The Hilda E. Dickey Trust 96-05311 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Brian K. Beckwith REPRESENTATION Claimant The Hilda E. Dickey Trust ("Claimant") was represented by David R. Dickey, Arlington, VA. Respondents Merrill Lynch Pierce Fenner & Smith, Inc. ("MLPFS") and Bria

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Gregory S. Parsons Central Carolina ENT Center PA Profit Sharing Plan Central Carolina Ear, Nose, Throat and Audiology Center 96-05310 Nanpe o^ Respondents Kensington Wells Incorporated EliasTacher SalTacbcr Adam Drew Levy ,: r; D-; L Marc A. Luxenberg : •' " : Stephen Voraea - REPRESENTATION For Claimants Gregoiy S. Parsons ("Parsons"), the Cent

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Timothy G. Shands 96-05308 J. B. Oxford & Company James Galido REPRESENTATION For Claimant Timothy G. Shands ("Claimant") appeared J. Pat Sadler, Esq., of the law firm, Sadler and Associates, P.C. located in Atlanta, Georgia. For Respondents J. B. Oxford & Company ("IBO"), and James Galido ("GaUdo"), (collectively, "Responde

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants John B. Kellenyi David S. Chao Case No. 96-05306 Names of Respondents Commodities Corporation, Limited Hamilton Partners, Limited REPRESENTATION For Claimants John B. Kellenyi ("Kellenyi") and David S. Chao ("Chao") (collectively referred to as "Claimants") appeared M. Christine Carry, Esq. and Benjamin P. Deutsch, Esq. of the law firm Schnader Ha

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Lawrence Group Partners, L.P. 96-05304 Name of Respondents Euro-Atlantic Securities, Inc. Brett Hamburger Joseph Blumenthal REPRESENTATION For claimant Lawrence Group Partners, L.P. ("claimant") appeared its representative Thomas J. McCabe, Esq. a sole practitioner located in New York, New York.

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Steven A. Goodman 96-05303 Name of Respondents Fahnestock & Co., Inc. Donald Will Mercurio REPRESENTATION For Claimant Steven A. Goodman ("Claimant") appeared Lloyd S. Clareman, Esq., a sole practitioner with offices located in New York, New York. For Respondents Fahnestock & Co., Inc. ("Fahnestock") and Donald Will Mercurio ("Mercurio"), collective

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Troy Caruso Names of the Respondents: Shawn Cantor Robert Winston David Jacaruso John Telfer Montrose Capital Management, Ltd. Case Number: 01 -02240 Hearing Site: New York, New York: REPRESENTATION OF PARTIES Claimant Troy Caruso, hereinafter referred to as "Claimant": Stanley S. Zinner, Esq., Greene & Zinner, P.C., White Plains, NY

N.A.SJX REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05302 Michael Messina, claimant v. Robert Madrid and Luis Loza, respondents. ATTORNEYS: For Claimant appeared Sheldon Cohen, Chicago, IL. For Respondent Robert Madrid appeared Luis Loza. Respondent Luis Loza appeared pro se. DATE FILED: 11/27/96. CASE SUMMARY: Claimant alleged unauthorized trading of stock. Claim Data Award Data Claim: $5,600.00 „;,

JUL.28.199S REGULATION FL NO.231 P.15 NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between rf Claimant Metropolitan Life Insurance Company John Carlton Moorcroft Case No. 96-05301 REPRESENTATION OF PARTIES For Claimant: H. Mark Vieth, Esq. of the law firm of Tilghman & Vieth, P.A., Miami, Florida, For Respondent Metropolitan Life Insurance Company ("MetUfe"): Marilyn J. Holifieid, Esq.