/MX. N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05661 Neil P. Young, claimant vs. A.S. Goldmen & Co. Inc., Joseph Falco and Michael Cilmi. respondents. ATTORNEYS: Claimant appeared Pro Se, Mill Valley, CA For Respondent A.S. Goldmen & Co. Inc., appeared Carole R. Bernstein, Esq., Norwalk, CT. Respondent Joseph Falco appeared Pro Se, Staten Island, NY Respondent Michael Cilmi appeared Pro Se, So

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf th^riaimant r.nse Number- 01-01405 Mildred S. Mann Names of thft Respondents Hearing Site; Philadelphia, PA Lance E. Slater First Union Securities, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. RFPRF.SF.NTATfON OF PAKTTF.S Claimant, Mildred S. Mann, hereinafter referred to as "Claimant", was represented by Stephen H. Berkowitz, Esq., Moore & B

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-05660 Celia W. Andrews, claimant vs. LaCroix Alexander Financial Corp., respondent. ATTORNEYS: Claimant appeared Pro Se, Cincinnati, OH. For Respondent LaCroix Alexander Financial Corp. appeared Dan R. Waller, Esq., of the law firm Secore & Waller, L.L.P., Dallas TX. DATE FILED: December 23, 1996 CASE SUMMARY: Claimant alleged misrepresentation in connecti

N.A.S.D, REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Gary ilgenfriiz 96-05659 Name^pf Respondent^ Quesrron Securities. Inc. Sam E. Harris REPRESENTATION Claimant Gary llgenfritz ("Claimant') was represented by Jonathan H. Colrnan. Esq., Paoli, PA. Respondents Questron Securities. Inc. ("Question") and Sam E. Harris ("Harris') did not appear. CASE I

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-05656 Elaine Weiner, claimant v. Kevin'Mahon and Marsh, Block & Co., Inc., respondents. ATTORNEYS: For Claimant Claimant appeared pro se - Bronxville, NY. • Respondent Kevin Mahon appeared pro se - New York, NY. For respondent Marsh, Block & Co., Inc. appeared David W. Parsons, Esq. - New York, NY. DATE FILED: December 20, 1996. CASE SUMMARY: Claim

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant J.W. Charles Securities, Inc. 96-05654 Name of Respondent Andrew Kevlahan REPRESENTATION For Claimant J.W. Charles Securities, Inc. ("claimant") appeared Gregory Tendricb, Esq. in-house counsel for J.W. Charles Securities, Inc. Respondent Andrew Kevlahan ("respondent") appeared pro se. CASE INFORMATION The Statement of Claim was filed on December 16, 1996.

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Gibraltar Securities Co. 96-05653 Name of Respondent Barry K. Gold REPRESENTATION For Claimant Gibraltar Securities Co. ("Claimant") appeared Sheldon M. Finkelstein, Esq., of the law firm Hannoch Weisman located in Roselan, New Jersey. For Respondent Barry K. Gold ("Respondent") appeared W. Hans Kobelt, Esq., of the law firm Polack & Kaminsky located in

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants Mickie Spell Deborah Spell 96-05651 PaineWebber, Inc. Bill Ken, Jr. Michael J. Lingner REPRESENTATION For Claimants Mickie Spell and Deborah Spell ("Claimants") appeared Malvern F. King, Jr., Esq. of the firm Pulley, Watson, King & Lischer, P.A., located in Durham, North Carolina. For Respondents PaineWebber, Inc. ("PaineWebber") and Michael J. Lingne

NASD REGULATION, INC AWARD In the Matter of the Arbitration Between Name of Claim'.-it John F. Davie 96-05648 Name of Respondent American Express Financial Advisors, Inc REPRESENTATION For Claimant, John F. Davie ("Claimant") appeared Howard E. Berman, Esq., of Farrauto, Herman, Fontana & Selznick located in Yonkers, New York. For Respondent, American Express Financial Advisors, Inc. ("Respondent"), appeared Gary Jrwin, Esq., of in-house cou

AWARD NASD Regulation, Inc. Office of Dispute 1 Resolution In the Matter of the Arbitration Between Name of Claimant Janet Virginia Jay Revocable Trust and 96-05647 Name of Respondent -^Wedbush Morgan Securities, Inc. Daley Discount Securities JeffNovakovich REPRESENTATION OF PARTIES Janet Virginia Jay Revocable Trust ("Claimant") was represented by Kevin L. McDowell, Esq., Broizman, Buchholz & McDowell, Boulder, Colorado. ^