NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Alan Bernstein Sparkle Car Wash, Inc. Case No. 96-01569 Name of Respondents Lee B. Spahn Chesapeake Securities Research Corp. REPRESENTATION Claimants Sparkle Car Wash, Inc.("Sparkle Car Wash") and Alan Bernstein ("Bernstein") were represented by Paul N. Sameth and Jeffrey M. Orenstein of Adelberg, Ru

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Herman Horn, Vivian Horn, and the Herman Horn Living Trust, (Claimants) vs. Harland Financial Services Corp., Securities America, Inc., and Jeffrey Levy, (Respondents) Case Number: 01-02036 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Herman Horn ("H. Horn"), Vivian Horn ("V. Horn"), and the Herman Horn Living Trust ("Horn Trust"), hereinafter collectiv

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00787 Hisako Rooney, claimant vs. Mony Securities/ respondent ATTORNEYS: Claimant Hisako Rooney, appeared through Charles W. Austin, Jr., Esq., Richmond VA Respondent, Mony Securities, appeared through John A. Bender, Jr., Esq., of the firm of—- Weiss, Jensen, Ellis & Howard, Seattle WA DA jEFiLED: February 22, 2QOC CASE SUMMARY: Claimant alleged that Respondent provided unsuitable

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Doris Scott Huggins Name of Respondent A.G. Edwards & Sons, Inc. REPRESENTATION 96-01568 Claimant Doris Scott Huggins ("Claimant") was represented by Brian A. Carlis, Esq. and John E. MacDonald, Esq., Stark & Stark, Philadelphia, PA. Respondent A.G. Edwards & Sons, Inc. ("Respondent") was represented by Phyllis A. Hartrich,

NASD REGULATION, INC. AWARD Case No, 96-01564 In the Matter of the Arbitration Between Name of Claimant Marjorie H. Steger vs. Names of Respondents Janney Montgomery Scott, Inc. Melvin Kahn REPRESENTATION For Claimant Marjorie H. Steger ("Claimant") appeared Donald G. McGrath, Esq. of the law firm Falk & Siemer, LLP located in Buffalo, New York. For Respondents Janney Montgomery Scott, Inc. ("Janney Montgomery") and Melvin Kahn ("Kah

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. 96-01562 96-03623 In the Matter of the Arbitration Between Name of Claimant Krikor Naccachian Name of Respondent ArnSouth Investment Services, Inc. In the Matter of the Arbitration Between Name of Claimant AmSouth Investment Services, Inc. Name of Respondent Krikor Naccachian REPRESENTATION For Krikor Naccachian ("Naccachian"), Claimant and

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Neal R. Zwicker Name of Respondents Southwest Securities, Inc. Greenway Capital Corp. Jeffrey Peter Ihm T L Group, Inc. Johnston Kent Securities, Inc. J.B. Oxford-fipmpany: Long Island Investment Group 96-01560 REPRESENTATION For Claimant Neal R. Zwicker ("claimant") appeared Andrew Rainer, Esq. of the law offices Shapiro, Haber & Urmy, LLP locate

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Charles V. Bentley, Claimant, and No. 96-01557 Financial Planning Consultants, Inc., Robert W. Waugh, Lars D. Omlid, and Kingsley O. Wright, Sr., Respondents. REPRESENTATION OF PARTIES Claimant, Charles V. Bentley, was represented by Clifford B. Faddis, Jr. Esquire, located in St. Louis, Missouri. Financial Planning Consultants, Inc., Lars D. Om

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities Inc 96-01552 Name of Respondent Ariad Group CASE SUMMARY In a claim filed with the National Association of Securities Dealer, Inc. on April 10, 1996, Claimant Prudential Securities Inc. ("Claimant"), through its representative, Linda A. Gallagher, Esq. of the law firm of Gomberg Kane & Fischer, Ltd., locat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name tf Claimant Raymond, James & Associates, Inc. 96-01545 Name of Respondent Eric A. Cason For Claimant: Joseph A. Vallo, Esq., Fort Lauderdale, FL. Hie Respondent did not appear. CASE INFORMATION Statement of Claim filed: April 10, 1996. Claimant's Submission Agreement signed on: April 3, 1996. The Respondent did not execute a Submis