© National Associati on n f Securities Dealers, inc. 95-04807 AU Rights Reserved N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Danny E. Huntley Name of Respondents Cohig & Associates, Inc. Robert W. Lewis REPRESENTATION For claimant Danny E. Huntley ("claimant") appeared Robert H. Putnam, Esq., a sole practitioner located in Atlanta, Georgia. For respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Vincenzo & Nunzia Rossiello 95-04806 Name of Respondent A A r + Securities Balers Inc. Anthony Cantone AIJ Rights Reserved CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 11, 1995, Claimants;- - N Vincenzo and Nunzia Rossiello ("Claimants'^; who^appeared Pro Sei/alleged th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Patricia Doxzen 95-04803 Name of Respondent Kidder, Peabody & Co., Incorporated CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 11, 1995 Claimant: a ;,:, ,;, ^Patricia Doxzen ("Claimant"), through her representative Mary Gateljr BciSfey;;jEsq^^^^son^^ 0 ^ ("Chima Maryla

NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Vivian Joy Konopasek v. Arbitration No. 95-04799 Name of Respondents Bradley Katz, Kimberly Hardaker, Dennis Hardaker, James Morgan Bowen, Ralph Pillman, Donald Vigil, International Assets Advisory, Inc., Brennan Ross Securities, Inc., Tamaron Investment. Inc., and Baraban Securities, Inc., REPRESENTATION For Claimant: Vivian Joy

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Fae Greenburg Living Trust, Bradley J. Fink, Denise Price, Michele Kichura, and Doris Fisher, Claimants, and No. 95-04795 Advest, Inc. and Charles Wayne O'Neal, Respondents. REPRESENTATION OF PARTIES Claimants, Fae Greenburg Living Trust, Bradley J. Fink, Denise flee, Michele Kichura, and Doris Fisher, were represented by Mayer S. Klein, Esquire of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. la the matter of the Arbitration Between Name of Claimants Paul S. Dwan v. NASD Arbitration No.95-04793 Name of Respondents Bear, Stearns & Company, Inc. and Paul B. Berman REPRESENTATION For Claimant: James Geffher, Esq. ForRespondents: Kee • LdtigBfcaeh, California CASE INFORMATION Statement of Claim filed: Claimant's Submission Agreement signed:

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of (Claimant Miles Price 95-04789 Name of Respondent ©National, Howe Barnes Investment, Inc. REPRESENTATION M Wghis Rc^ -^ For Claimant: Miles Price ("Price") was represented by Timothy 0. Dudley, Esq. of Little Rock:, Arkansas. • For Respondent: Howe Barnes Investment, Inc. was represented by Randall B. Gold,iEsqi ; ;C

%fOQ £& AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Yuanzhen long, Claimant, < D National Association of Securities Dealers. Inc. *- * 1996 All Rights Reserved v. No. 95-04788 AAA Stockbrokers, Inc., and Peter Fusung Wu, Respondents. REPRESENTATION OF PARTIES Claimant Yuanzhen Tong was represented by J. Brantley Sanders, Esquire of The Barbknecht Firm locate

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Edith M. Gunn 95-04782 Name of Respondents Daniel R. Masiello Arthur E. DeLorenzo.. IDS Financial Services Inc. a/k/a American Express Financial Advisors, Inc. REPRESENTATION Claimant Edith M. Gunn ("Gunn") appeared pro se. Respondents >DanielR. Masiello ("Masiello,"), Arthur E. DeLorenzo ("D

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name pf Claimant Bourgeois Construction Inc. Profit Plan o Respondent 95-04779 Smith Barney Shearson, inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 10, 1995 Claimant Bourgeois Construction Inc. Profit Sharing Plan ("Claimant"), through its representative Ron Bourgeois ("Bourgeois"), who