AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter oi the Arbitration Between Name of Claimant Michael Francis v. Arbitration No. 96-01446 Name of Respondents George Klepacki: Barren Chase Securities, Inc.: Hanifen ImhoiT Clearing Corporation REPRESENTATION For Claimant: T. Randolph Catancse. Esq. Calanese £ Wells Wcstlakc. California For Respondent Eugene Michael Kennedy. Esq. Law Office of Eugene Michael Ke

I ' RUG. 2.2004 3 = 24PM NPSD DISPUTE RESOLUTION NO.783 P.I •i l N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Alfred Hein Helen Hein Cynthia Stavrakis 96-01445 Name of Respondents Mark Splicer MCC Securities Inc. POT Claimants: Jonathan L. Alpeit, Esq. and Gregory J, Blackburn, Esq. of Alpert, Barker & Calcutt, P. A., Tampa, Florida. For Respondents: John R.

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Gregory F. & Kathleen K. Blessing Case No. vs. 96-01444 Name of Respondent Steven Morgan REPRESENTATION Claimants, Gregory F. Blessing and Kathleen K. Blessing ("Claimants") were not represented by counsel and are located in Wellington, Connecticut. Respondent, Steven Morgan ("Respondent"), was not represented by counsel and is located in Brielle,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward J. Crenshaw 96-01443 Name of Respondents Commonwealth Associates Richard Galterio REPRESENTATION For Claimant, Crenshaw, appeared Gerald B. Kline, Esq, a sole practitioner located Atlanta, GA. For Respondents Commonwealth Associates ("Commonwealth") and Richard Galterio ("Galterio") appeared J. P, Wilson, Esq. in hou

N.A.S.D. REGULATION AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Peter S, Bruckel 96-01439 Name of Respondents Sterling Foster Investment Bankers Robert Pratt REPRESENTATION For Claimant Peter S. Bruckel ("claimant") appeared Frank H, Lloyd Jr., Esq. of The Williams Law Offices located in Pittsford, New York. For Respondents Sterling Foster Investment Bankers and Robert Pratt ("respondents"

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard Hoefer, Claimant v. Bane of America Securities, LLC, Respondent Case Number: 01-02018 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Michael Q. Eagan, Esq. Michael T. Welch, Esq. William J. Stafford, Esq. Law Offices of Michael Q. Eagan San Francisco, California For Respondent: Peter R. Boutin, Esq. Kelly J. Moynihan, Es

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Donald Reichenbach 96-01434 Name of Respondents Vision Investment Group, Inc. Robert Rondinella Cantella & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on April i, 1996, Claimant Donald Reichenbach ("Claimant") who appeared Pro S

NASD REGULATION AWARD NASD REGULATION 96-01432 In the Matter of the Arbitration Between Name of Claimant Warren F. Spencer Name of Respondent World Invest Corporation REPRESENTATION For Claimant Warren F. Spencer ("claimant") appeared Floyd R. Brown of the law firm Brown & Pearson located in Carlsbad^ California. For Respondent World Invest Corporation ("WIC") appeared William Sumner Scott, Esq.. of the law firm The Scott Law Firm locate

N.A.S.D. REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants ••^•••••••M^^^^H^M^V 4 Lloyd Muller (deceased), Corinne R. Mullet and Brad H. Muller 96-01426 Names of Respondents J. Gregory & Company, Inc. Nicholas R. Salerno Thomas C Johnson, Jr. Vincent Mongno Dianne A. Borden Lorette D. Fairis Warren R. Schreiber Bear Stearns Securities Coip,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph J. Sarek & Hellyn L. Sarek 96-01421 Name of Respondents J.B. Hanauer & Company Courtney K. Anderson REPRESENTATION The Claimants appeared pro se. For Respondents: Miriam Lefkowitz, Esq. of the law firm of Kenny Nachwalter Seymour Arnold Critchlow & Spector, P.A., Miami, Florida. CASE INFORMATION Statement of