AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Harvey J. Young and 95-04170 Name of Resnondent .** : 'irv of Securities America, Inc. Allen R. Montgomery ;iKt...: J K^crVvv. REPRESENTATION OF PARTIES Harvey J. Young ("Claimant") was represented by^Alexandra Coulter Cross, Esq., Harwell flowarduug -{ 1.4^^ Gabbert & Manner, Nashville, Tennessee. . ' ^

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Irene Michaels, Claimant, and No. 95-04168 Haskell M. Israel, and Strasbourger Pearson Tulcin Wolff, Inc., Respondents. REPRESENTATION OF PARTIES For Claimant: Irene Michaels ("Michaels") was represented by Thomas J. Ramsdell* Torshen Spreyer & Garmisa Ltd., located in Chicago, Illinois. >rsh a. ^u For Respondent: Haskell M. Israel ("Israel") ap

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Terry Lee and Marcia Tapp, The Top Shop, Inc. and 01-01940 Phoenix, Arizona Name of Respondent Prudential Securities, Inc. REPRESENTATION OF PARTIES Terry Lee and Marcia Tapp, and The Top Shop, Inc. ("Claimants") were represented by Jon A. Titus, Esq. and David R. Jordan, Esq., Titus, Brueckner & Berry, P.C., Scottsdale, Arizona. Prudential Sec

Arbitration & Mediation National Association of Securities Dealers, Inc. * NASD Financial Center * 33 Whitehall Street * New York, NY 10004 * Fax 212-858-4429 Washington DC Satellite office at: 1735 K Street, NW - 10th Floor * Washington, DC 20006 * Fax 202-728-6952 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Murray Fisherman 95-04165 Name of Respondents Dean Witter Reynolds

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Louise Pope 95-03876 Name of Respondent Kemper Securities, Inc. n/k/a Everen Securities Anthony S. Rockwell CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 10, 1995, Claimant Louise Pope, ("Claimant") who appeared Pro Se, alleged that Respondents Kemper Securities, Inc. ("Ke

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Esther Williams 95-03875 Name of Respondents Schroder Wertheim & Co. Inc. RAS Securities Corporation Robert A. Schneider Steven Guzafsky REPRESENTATION For claimant Esther Williams ("claimant") appeared Daniel H. Weinet, Esq., of the law firm of Hughes Hubbard & Reed LLP, located in New York, New York, and AJan S, Hock,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gilford Securities, Inc. 95-03874 Name of Respondent James DiAngelo CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 10, 1995, Claimant, Gilford Securities, Inc., through its in-house representative, Larry Wachler, alleged that Respondent James DiAngelo has failed to repay a note

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Albert and Gladys Miller 95-03872 Name of Respondents) Michael L. Veit Dianne A. Harden Vincent Mongno J. Gregory & Coompany, Inc. REPRESENTATION For Claimants Albert and Gladys Miller ("the Millers"): Jack H. Halperin, Esq. of the law office of Jack H. Halperin, New York, NY. For Respondent Michael Veit ("Veit")

N.A.S.D. MODIFIED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between David Selin 95-03866 Name of Respondents Lee Blackwell Chatfield Dean & Co., Inc. REPRESENTATION For Claimant David Selin ("Selin"): Alan Grunspan, Esq. of Kaufman Miller Dickstein & Grunspan P.A., Miami, Fi. For Respondents Lee Blackweli ("Blackwell") and Chatfield Dean & Co., Inc. ("Chatfield"): Christa Taylor, Esq. of Chat

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jeffrey S. Whitney Claimant NASD Arbitration v. No. 95-03856 Financial West Group James W. Anderson Respondents REPRESENTATION OF PARTIES Jeffrey S. Whitney ("Claimant") represented himself, pro se. Financial West Group and James W. Anderson ("Respondents") were represented by H. Thomas Fehn, Fields Fehn & Sherwin, Los Angeles, California