NASD REGULATION. INC.. OFFICE OP DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Paul Campbell C & M Fence Campbell Family Credit Trust Arbitration No. 95-04410 Name of Respondent(s) John F. Doyle * Thomas G. Chenoweth , -^ REPRESENTATION For Claimants: Gary S. Baum, Esq., Cardiff-by-the-Sea/ Caliio^nia For Respondent John F. Doyle: John J. Thornton, Esq., Quincy, Massachusetts For Respondent T

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hill, Thompson, Magid & Co., Inc. CASE NO. v. 95-04398 Name of Respondents U.S. Clearing Corp. Sharpe Capital Inc. Judith Ann Payer William F. Kirincich For Respondent, Sharpe'Caplhcf Sharpe 1 '), Jacob Zamansky, Esq. of Singer, Bienstock|&amansk^ v Ogele & Seiengut located in New York, New York. Oseie £ S^n

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Herbert C. Deesen 95-04396 Name of Respondent K. Aufhauser & Co CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 14, 1995, Claimant Herbert C. Deesen ("Claimant"), who appeared Pro Se, alleged that Respondent K. Aufhauser & Co. ("Respondent"), induced him to open^an account wi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Louis Schoenberger 95-04392 Name of Respondent Beacon Securities, Inc. Gary L. Donahue Gus Geldman REPRESENTATION Claimant Louis Schoenberger ("Claimant") was represented by Michael F. Bachner, Esq. and David A. Gehn, Esq., New York, NY. Respondent Beacon Securities, Inc. ("Beacon") did not appear. Respondent Gary L

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between PRUDENTIAL SECURITIES INCORPORATED, © National Association of Securities DCS*" Claimant, ^^ JQQ^ -and- No. 95^04382 M ^^ Resttve a RONALD L. GROSS Respondent. REPRESENTATION OF PARTIES For Claimant: Prudential Securities Incorporated was represented by Steven P. Gomberg, Esq., Gomberg Kane & Fischer, Ltd., 208 South LaSalle St

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Deborah Brower, (Claimant) vs. Hollencrest Securities, LLC and Robert Wolford, (Respondents) Case Number: 01-01966 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Deborah Brower, hereinafter referred to as "Claimant": Eva H. Posman, Esq., a sole practitioner, New York, NY. Respondents, Hollencrest Securities, LLC ("Hollencrest") and Robert Wolford ("Wolford"),

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Arthur H. Williams, Claimant, v. No. 95-04380 Cigna Financial Advisors, Inc., Connecticut General Life Insurance Co., and Cigna Individual Financial Services. Respondents. REPRESENTATION OF PARTIES Claimant Arthur H. Williams was represented by W. Dan Boone, Esquire and Marc A. Susswein, Esquire of Liddle & Robinson located in New York, New

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Stifel, Nicolaus & Company, Incorporated and Names of Respondents Walter H. Johnson and >• GaryTillman Case Number 95-04377 (consolidated with 95-04379) National Association of Securities Dealers, Inc. All Rights Reseived ri ' lTri3jt REPRESENTATION OF PARTIES Stifel, Nicolaus & Co., Inc.("CIaimant

NASDR AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of Arbitration Between Kent Thuc Tran, Claimant, v. Case No. 95-04374 Olde Discount Corporation to National Association of and David Wright, Secuntie* Dealers, inc. Respondents. AU Rights Reserved Mp^^NTAIIQN OF PARTIES Kent Thuc Tran ("Claimant") was represented by Frank V: Ghiselli, Esquire and Winstbnie^bhrah; • '\ "••."-,j.ra ; ^Esquire of frank' V. Ghi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant Zoltan Ackerman Name of Respondents Cartwright & Walker Securities, Inc. and Gennady Rozenfeld NASD Arbitration No. 95-G4373 For Claimant: For Respondents: REPRESENTATION Zoltan Ackerman, Pro Se Valley Village, California For Respondent Gennady Rozenfeld: Sol Freedman, Esq. Rockville Center, New Yo