AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Arthur Robert Frederick Trust Dated April 1,199 1 Arthur Frederick, Trustee v. Arbitration No. 96-02128 Name of Respondents A.G. Edwards & Sons, Inc. Paul Spitzer Brian Crane _, , REPRESENTATION For Claimant: Ronald Marroru Esq., San Diego. California For Respondents A.G. Edwards & Sons, Inc., and Paul Spitxer

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Steven Roberts and 96-02127 Name of Respondent Prudential Securities, Inc. Thomas Sachs REPRESENTATION OF PARTIES Steven Roberts ("Claimant") was represented by Joseph \V. Anthony, Esq. And Steven M. Phillips, Esq.. Fruth & Anthony, P.A., Minneapolis. Minnesota. Prudential Securities. Inc. ("Respondent Prudential") and Thoma

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants P.ase Number- 01-02082 James A. and Betty L. Denman, Trustees of Master Case the Denman Family Trust James A. Denman, IRA Betty L. Denman, IRA William A. and Mary Anne Denman, Trustees of the William and Mary Anne Denman Trust B. Louise DiDay Names of the Respondents Hearing Site- Pittsburgh, PA IAC Securities, Inc. John E. Prokop , \ T

JUN. 9.1999 9=30ftM NASD REGULATION FL NO.977 P.11 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Weoceslao Gonzaies NASD CASE NO. 96-02126 Name of Respondents Raymond James & Associates, Inc. and Bill J. Short, n REPRESENTATION For Claimant: James L. Karl Q» Esq. of James Karl & Associates, Marco Island, Florida. For Respondents: Paul L. Matecki, Esq., Corporate Counse

N.A.SJX REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Joseph Welsh Jerri Welsh Juke Box, Inc. 96-02124 Name of Respondents Chatfield Dean & Co., Inc. G-V Capital Corp. Bismark A. Bad ilia Richard A. Frueh Russell Osborn Lawrence E. Kaplan REPRESENTATION OF PARTIES For Claimants: Timothy A. Canning, Esq., The Sapiro Law Firm, San Francisco,

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLITION In the matter of the Arbitration Between Name of Claimants) Robert Parker La Deane Parker v. Arbitration No. 96-02119 Name of Respondent(s) Brokers Investment Corporation Martin W. May Michael M. Markow Daniel H. Steinberg Bruce G. Clark REPRESENTATION For Claimants; Timothy A. Canning, Esq. The Sapiro Law Firm San Francisco, California For Respondents Brok

NASD REGULATION, INC. AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Prosper Amsellem v. Name of Respondent Charles Schwab & Co., Inc. Arbitration No. 96-02116 For Claimant: For Respondent: Statement of Claim filed: REPRESENTATION Jonathan W. Evans, Esq. Attorney at Law Los Angeles, California Mark T. Drooks, Esq. Bird, Marella, Boxer, Wolpert &

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Richard Vasquez and Josephine Ruppert v. NASD Regulation, Inc. Arbitration No. 96-02113 Name of Respondents W.J. Gallagher & Company, Inc. Harry Gliksman, and Nils Angert REPRESENTATION For Claimants: Jonathan W. Evans, Esq. Law Offices of Jonathan W. Evans Los Angeles, California For Respondents W.

N.A.S.D. REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Jacquelyn Moultrie 96-02109 Name of Respondent The Dreyfus Service Corporation REPRESENTATION For Claimant Jacquelyn Moultrie ("Claimant") appeared Horatius A. Green, Esq. of the law firm of Winkler, Bevacqua & Simmons, RC, located in Newark, New Jersey. For Respondent The Dreyfus Service Corporation ("Dreyfus") appeared Bar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Darrell Moore 96-02105 Name of Respondents Nationwide Securities Corp. Thomas Deceglie Thomas DeSimone Shannon Johnson CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on May 15, 19% claimant Darrell Moore ("claimant") who appeared Pro Se, alleged that respondents Nationwide