FINAL ORDER NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between William H. Daniel, Claimant, and Case Number: 96-04634 Joe Psaimonds, Jr., Respondent. REPRESENTATION OF PARTIES Claimant William H. Daniel ("Claimant") was represented by William S. Shepherd, Esq. of William S. Shepherd & Associates, P.C. located in Houston, Texas. Respondent Joe Psaimonds. Jr. ("Respondent") was represented by Michael Sc

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Alvin Biagas Albert and Lucinda Biagas Marian Olson 96-04632 Name of Respondents D.H. Blair & Company Joseph Aguilera REPRESENTATION Claimants Alvin J. Biagas, Marian Olson, Albert P. Biagas, and Lucinda Biagas ("Claimants") were represented by A. Scott Bolden, Esq. and David Ober, Esq., Ree

lift/ - f t \\J\Qt AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimantfs> Lawrence B. Sullivan v. Arbitration No. 96-04631 Name of Respondent^s) .. S. Goldmen & Company, Inc. R. D. White & Co,, Inc. For Claimant: Herbert M. Deutsch, Esq., Deutsch & Lipner, Garden City, New York:' ! For Respondent A. S. Goldmen: Carl Bernstein, Esq., Agins, Siegel & Reiner, New York,r

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS ! , ... /-y-r In the Matter of the Arbitration Between ' I °/ l Names of Claimants Helen and Luis Hernandez 96-04629 Names of Respondents Rickel & Associates, Inc. Paul P. Kotos Ross £. Noble REPRESENTATION For Claimants: Robert Dyer, Esq. of the law firm of Allen, Dyer, Doppelt, Milbrath & Gilchrist, P. A., Orlando, Florida. . ,, ;, For Respondent Rickel & Associa

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Mollie Leff and Marsha Aarons 96-04628 Name of Respondents Janney Montgomery Scott Inc. Thomas Lynch REPRESENTATION Claimants Mollie Leff ("Leff") and Marsha Aarons ("Aarons") or ("claimants") appeared Pro Se. For respondents Janney Montgomery Scott ("IMS") and Tim Lynch ("Lynch") appeared their

AWARD NASD REGULATION. INC. r OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Dakin Securities, Inc. John H. Dakin v. Arbitration No. 96-04626 Name of Respondent Marc W. Vraciu REPRESENTATION For Claimants: Terry M. Gordon, Esq., Epstein Becker & Green, San Francisco, California For Respondent: Christine A. Djemaes, Esq., San Francisco, California CASE INFORMATION Statement of Claim

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. -CASE: 01-02173 Asset Management Services Group, Inc., Claimant vs. American Capital Corporation and Norfnan F. Watts, Respondents. ATTORNEYS: Claimant, Asset Management Services Group, Inc., ("Claimant"), appeared through its CEO, Thomas K. McNeil!, Manasquan, NJ. For Respondents, American Capital Corporation and Norman F. Watts, (collectively "Respondents") appeared Dennis C. Dice, Esq.,

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Gerald Dowd 96-04625 Name of Respondents Metropolitan Life Insurance Company Mark B. Stein REPRESENTATION Claimant Gerald Dowd ("Dowd") appeared pro se. For Respondent Metropolitan Life Insurance Company ("MLI") appeared Edward Baer, Esq., in-house counsel for Metropolitan Life Insurance Company. Respondent^MarkB. SteinX^Stein") appeared pro se. CAS

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alan G. Feldman 96-04623 Name of Respondents J.W. Barclay & Co., Inc. Thomas Zukowski REPRESENTATION Claimant Alan G, Feldman ("Feldman") appeared pro se. For Respondent J.W. Barclay & Co., Inc. ("Barclay") appeared Theo Basis, Compliance Officer at Respondent J.W. Barclay & Co., Inc. Respondent Thomas Zukows

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Liana X. Ye William Lloyd Davis Arbitration No. 96-04619 Name of Respondent(s) LaCroix Alexander Financial Corporation GPS Consulting Corporation REPRESENTATION For Claimants: Liana X. Ye, Belmont, California For Respondents: Richard W. Smirl, Esq., Keesal, Young & Logan, Long Beach, California CASE INFORMATI