N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Philip D. Fox 96-01298 Name of Respondent D.E. Frey & Company. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 25, 1996, Claimant Philip D. Fox ("Claimant"), who appeared Pro Se, alleged that in November of 1993, Respondent D.E. Frey & Company, Inc. ("Respondent") recommende

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant John A. Vani & Catherine A. Vani, Trust and 01-01191 Chicago, Illinois Name of Respondents Gruntal & Co., L.L.C. James H. Cox, m Jodi A. Reed Henry D. Gottmann Robert P. Rittereiser Nature of the Dispute: Customer vs. Terminated Member and Associated Persons REPRESENTATION OF PARTIES John A. Vani & Catherine A. Vani, Trust ("Vani") was rep

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between The Estate of Laura Neef, by Allen Neef, Personal Representative, Claimant, No. 96-01297 Arnold Fiscilli, James Parrelly, and Hamilton Investments, Respondents. REPRESENTATION OF PARTIES Claimant The Estate of Laura Neef, by Allen Neef, Personal Representative ("Claimant") was represented by Walter L. Baumgardner, Esq. of Musiili, Baumgardne

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Allen Sternbert* Claimant, and No. 96-01296 The Marriman Group, Inc., and Scott Follett Respondents. REPRESENTATION OF PARTIES Claimant, Allen Sternberg, was represented by David A. Tucker, Esquire and Thomas N. Eckerle, Esquire of Johnson Smith Pence Densborn Wright & Heath located in Indianapolis, IN. Respondents, The Harriman Group, Inc. and-

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. IN THE MATTER OF THE ARBITRATION BETWEEN EVEREN SECURITIES, INC., ) ) Claimant, ) ) No. 96-01295 v. ) ) STEVE P. COLLOP, ) ) Respondent. ) REPRESENTATION OF PARTIES For Claimant Everen Securities, Inc.: Diane C. Fischer of Gomberg Kane & Fischer, Ltd., Chicago, Illinois. For Respondent Steve P. Collop: No appearance for Respondent at hearing. CASE INFOR

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Daniel A. North, Claimant, and Monroe Parker Securities, Inc., John P. Clancy, and Richard S. Schneider, Respondents. No. 96-01285 REPRESENTATION OF PARTIES Claimant Daniel A. North was represented by Ronald Cohen, Esquire of Cohen & Small, located in Houston, Texas. Respondents Monroe Parker Securities, Inc., John P. Clancy, and Richard S.

AWARD *r- "NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Warren W. Schueneman, Claimant, and No. 96-01283 Piper Jaflray, Inc., Peter C. Klatt, and Steven J. Berghs, Respondent. REPRESENTATION OF PARTIES Claimant Warren W. Schueneman appeared pro se. Respondents Piper Jaffray, Inc., Peter C. Klatt and Steven J. Berghs were represented in pleadings by Mark S. Reed, Esquire of Piper Jaff

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harry & Virginia A. Mason Trust John Pew Name of Respondents Susan W. Byrd Investors Security Company, Inc. Wealth Resource Capital Corp. 96-01281 consolidated with 96-01951 REPRESENTATION For Claimants: Jeffrey Coleman, Esq. of the law firm of Bonner, Hogan & Coleman, P.A., Clearwater, FL. For Respo

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION ARBITRATION AWARD NASD REGULATION. INC. - OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. Name of Respondent Thomas O. Rockefeller NASD Regulation, Inc. Office of Dispute Resolution Arbitration No. 96-01278 REPRESENTATION For Claimant: For Respondent: Statement of Claim filed: Stephen?. Gomberg, Esq. G

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. v. Arbitration No. 96-01277 FrcdF. Klara For Claimant: For Respondent; Statement of Claim filed: REPRESENTATION Steven P. Gomberg, Esq. Gomberg Kane & Fischer, Ltd. Chicago, Illinois No appearance CASE INFORMATION Claimant's Submission Agreement signed: Statement of Answer