N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David E. Mayhew David Mayhew FBO Lauren C. Mayhew David Mayhew FBO Briana M. Mayhew Sharon S. Mayhew David E. Mayhew Profit Sharing Plan 96-01342 Name of Respondents PaineWebber, Inc. Sam GuiHano Dianne Borden Warren R. Schreiber Lorette D. Farris John A. Gentilella, Jr. Vincent Mongno The Estate of

JUL.20.1998 8=19AM NPSD REGULATION FL NO.663 P. 15 N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants .• Community Diagnostic Centers, Inc., H. Christopher Starkey and Louisa H. Starkey , NASD CASE NO. 96-01341' Name WJ, Gallagher & Company, Inc., William J. Gallagher, Robert W. Kendricfc, Robert P, tentz, HI, and Harold H. Harris For Claimants: Sco

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard F. Berry 96-01339 Name of Respondents Royal Alliance Associates, Inc. Morton J. Potoff CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 26, 1996, Claimant Richard F. Berry, ("Claimant"), who appeared Pro Se, alleged that Respondents Royal Alliance Associates, Inc. ("R

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants Susan Rossel Barry R. Eisenberg, P.C. Philip Sufian Trust 96-01338 Names of Respondents Kara Boudreau Grady Smith Barney, Inc. REPRESENTATION For Claimants Susan Rossel, Barry R. Eisenberg, P.C., and the Philip Sufian Trust (collectively referred to as the "Claimants"), appeared David B. Bruckman, Esq., with the law offices of Barry R. Eisenbe

NATIQNALASSOCIATION OF SECURITIESDEALERS ARBITRATION In the Matter of the Arbitration Between ADOLPH W. DUNSING, and PAINEWEBBER, INC., Case Number 96-01336 DECISION Adolph W. Dunsing Pro Se 133 Route 32A Saugerties, New York 12477 Lisa Catalano Tillem, Esq. Paine Webber, Inc. 1200 Harbor Boulevard Weehawken, New Jersey 07087-6791 Claimant, Respondent. Respondent PaineWebber, Inc., by undated Notice of Moti

NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Robert P. McFadden, Claimant, f v. No. 96-01332 Edwin F. Prizer, III, and Stifel,Nicolaus&Co., Respondents. REPRESENTATION OF PARTIES Claimant Robert P. McFadden ("Claimant") appeared on his own behalf. Respondents Edwin F. Prizer, m ("Prizer"), and Stifel, Nicolaus & Co. ("SNC") (or jointly referred to as "Respondents") were represented by Rochel

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Louis F. Romeo 96-01331 Names of Respondents A.G. Edwards & Sons, Inc. Benjamin H. Johnson, Jr. REPRESENTATION For Claimant Louis F. Romeo ("Romeo"): Delmer C. Gowing m, Esq. of Delmer C. Gowing III, P.A., Delray Beach, Florida. For Respondents A.G. Edwards & Sons, Inc. ("AGE") and Benjamin H. Johnson, Jr. ("Joh

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Bertram J. Wong, as Trustee of the Bertram J. Wong Trust 96-01326 Name of Respondent Douglas Wayne Osborne CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on March 26, 1996, claimant Bertram J. Wong, as Trustee of the Bertram J. Wong Trust ("Claimant

N.A.S.D. AWARD In the Matter of the Arbitration Between Name of Claimant Paul A. Sherman Trustee/Sherco Ret. Plan 96-01323 Name of Respondents Merrill, Lynch, Pierce, Fenner & Smith, Inc. Lawrence J. Haertel Kenneth C. Mulreed CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 25, 1996, Claimant Paul A. Sherman as Trustee for the Sherco Retirement Plan ("Claimant"), who appeared Pro Se, alleg

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Andrejs Zvenjnieks 96-01319 Name of Respondents Renaissance Financial Securities Corp. Daniel Higgins RKPRRSFNTATTON Claimant Andrejs Zvejnieks ("Claimant") appeared Pro Se. For Respondent Renaissance Financial Securities Corp. ("Renaissance") appeared Roger Schwartz. Esq. of the law offices of Roger J. Schwartz located in