NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants John C. and Mary S. Tracy 96-04975 Name of Respondents A.G. Edwards & Sons, Inc. Jack Stapleton REPRESENTATION For Claimants John C. and Mary S. Tracy ("Claimants") appeared Joel S. Arogeti, Esq., of the law firm Kitchens KeHey Gaynes, PC, located in Atlanta, Georgia. * For Respondent A.G. Edwards & Sons, Inc. ("AGE") appea

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-04972 Kurt Markstein, claimant vs. Angeio Armenta, JaneAnn Knapp and The Boston Group, respondents. ATTORNEYS: Claimant appeared Pro Se For Respondents Eric S. Hutner, Esq., New York, NY DATE FILED: November 7, 1996 CASE SUMMARY: Claimant alleged breach of fiduciary duty and failure to supervise regarding his investment in Genta, Inc. stock. Cl

NASD REGULATION, INC. AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Michael Orlov and Yelena Kamenker-Orlov v. Arbitration No. 96-04970 Name of Respondents Finance 500, Inc. and John Hiers REPRESENTATION For Claimants: Michael Orlov Yelena Kamenker-Orlov In Pro Per Brookline, Massachusetts For Respondent John Hiers: John Hiers In Pro Per Corona, Califo

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Nico F. March v. Arbitration No. 96-04966 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. v. Name of Third Party Respondent Prudential Securities, Inc. REPRESENTATION For Claimant: Michael Blumenfeld Freeman, Freeman & Smiley, LLP Los Angeles, California For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc.: Terry

u-V AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Billy R. Thedford, Claimant, and No. 96-04965 State Street Securities, Bradley White and Bryan O*Leary, Respondents. Claimant, Billy R. Thedford, appeared pro se in these proceedings. ; ^-^-^ >vy For Respondents, State Street Securities and Bradley White, Bradley White of State Street Securities appeared pro se and appeared as the co

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of fl™ *"1 g " n iaT lt Page Number- 01-02208 John and Gloria Ehrler Jt p ' St. Louis, Missouri First Security Investments, Inc.; and Anthony W. Chen HF.fttF.Sy.fJT ATTON OF PARTIES Claimants John and Gloria Ehrler, hereinafter referred to as "Claimants": Steven W. Koslovsky, Esq. of the firm of Blumenfeld, Kaplan & Sandweiss, P.C., St. L

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Dennis M. Jones, Jr. Revocable Trust, Claimant, and No. 96-04961 Stifel, Nicolaus & Co., Inc. and Brett Faulk, Respondents. REPRESENTATION OF PARTIES Claimant, Dennis M. Jones, Jr. Revocable Trust ("Jones"), was represented by Christine A. Ryan of Goldberg, Katz, Sadowski & Croft, P.C., located in Saint Louis, Missouri. Respondents, Stifel, Nicolaus

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants') S. Kircher & Company D.B.A. Capitol Bay Securities v. Arbitration No. 96-04955 Name of Respondent^ William Husa j REPRESENTATION For Claimant: Robert E. Gyemant, Esq., Knapp Petersen & Clarke, Glendale, California ; ;' For Respondent: William A. Husa, Gold River, California • ; ^ orsk;s CASE INFORMATION State

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Robert H. Wink, Claimant, v. No. 96-04952 Sterling Foster & Co., Inc., Noel Belmonte, Timothy J. Matthews, Robert Pratt, Steven K. Gourlay, Jr. Gary Licostie, Adam R. Lieberman, Craig Kellerman, Frank J. Monroig, Andrew E. Reegen, Brian P. Kearney, Vincent P. Carrella, Vincent G. Vaccaro, Michael H. Conn, Dian

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Frank M. and Theodora Pellicane Theodora Pellicane 96-04951 Name of Respondents Christopher McNamara Timothy Matthews John Massaro Sterling Foster & Co., Inc. REPRESENTATION For Claimant's Frank and Theodora Pellicane ("Claimants") appeared William J. Cunningham, III, Esq., of the law firm Meyer, Suozzi, English & Klein, P.C., located in Mineola, New Yor