AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Sewell Gelberd and Barbara Gelberd, Claimants and Counter-Respondents, and No. 96-04809 Smith Barney, Inc. and Jeff Mackevich, Respondents and Counter-Claimants. REPRESENTATION OF PARTIES For Claimants: Sewell Gelberd and Barbara Gelberd ("Claimants") were represented by Vern J. Holzhall, Esq. of Uscian & Eccleston, located in Chicago, Illinois. For

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Q'aimantfg) Estate of Doris C. Strother, et al. 96-04803 Name of Respondents') Prudential Securities Inc Frank Evans REPRESENTATION For Claimant Estate of Doris C. Strother, et al. ("Claimant") appeared Timothy L, Burke, Esq. of UAW- GM Legal Services Plan, located in Cheektowaga, NY. For Respondents Prudential Securities Inc. and Frank Evans ("Respondents") appeare

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant/ Counter Respondent Trudy K. Walker V. 01-02198 . Denver, Colorado Respondent / Counter Claimant . . Salomon Smith Barney. Inc. REPRESENTATION OF PARTIES Trudy K. Walker ("Claimant") was represented by Linda M. Deola, Esq., of Reynolds, Motl and Sherwood, Helena, Montana. Salomon Smith Barney, Inc. ("SSB") was represented by Marcy A. Mintz, Esq., of Salomon S

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Manuel and Peggy Orozco v. Arbitration No. 96-04802 Name of Respondents Smith Barney. Inc. and Todd J. Pilosi REPRESENTATION For Claimants: Scott R. Shewan, Esq. Born, Pape & Shewan L.L.P. Clovis. California For Respondent: Christopher B. O'Malley ' Smith Bamey General Counsel New York, New York CASE IN

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Joan Newberg 96-04801 Name of Respondents American Eagle Investments, Inc. Stanley Fagin REPRESENTATION Claimant Joan Newberg ("Claimant") was represented by J. Scott Kramer, Esq., Duane Morris & Hecksher, Philadelphia, PA. Respondents Stanley Fagin ("Fagin") and American Eagle Investments, Inc.

03/27/98 MON 11:05 FAI NASD REGULATION •v. NASD Regulation, Inc., Award In the Matter of Arbitration Between Bette Gorra, Claimant, and No. 96-04795 Prudential Securities, Inc., Alan D. Klibanoff, Stacy D. Klibanoff, Barry L. Harrison;, Wendy J. Harrison, John M. Picarello, and KarenAPicarelio, Respondents. REPRESENTATION OF PARTIES Claimant, Bette Goira ("Gorra") was represented by Raymond S. Heyraan, Esquire of Roshka, Heyman &

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between ft ame of Claimant Richard D. Hammond and • 96-04794 Name of Respondent Kirkpatrick, Pettis,Smith, Polian, Inc. REPRESENTATION OF PARTIES Richard D. Hammond ("Claimant") was represented by Bruce A. Hubbard, Esq., Hubbard & Johnson, P,C., Denver, Colorado* Kirkpatrick, Pettis, Smith, Polian, Inc. ("Respondent") was represented by James M. Bausch,

NASD REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dennis M. Keller 96-04789 < Name of Respondents First Hanover Securities, Inc. Gregory Ricca CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on October 28, 1996 Dennis M. Keller ("claimant"), who appeared Pro Se, alleged that he was a Vietnam War veteran on a di

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Patsy M. Lloyd 96-04788 Name of Respondents George E. Brooks George E. Brooks & Associates Morehead Investment Advisors, Inc. REPRESENTATION For Claimant Patsy M. Lloyd, ("claimant") appeared J. Mitchell Aberman, Esq., James, McElroy & Diehl, Charlotte, N,C. Respondents George E. Brooks ("Brooks"), George E. Brooks & Ass

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-04787 Henry J. Langen, claimant v. Corporate Securities Group, Inc. and Gary Heller, respondents. ATTORNEYS: Claimant appeared Pro Se. - St. Augustine, FL. For Respondent Corporate Securities Group, Inc. appeared Gregory Tendrich, Esq. in-house counsel Boca Raton, FL. Respondent Gary Heller did not appear. DATE FILED: October 28, 1996. CASE SUMMARY: Cl