N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC, In the Matter of the Arbitration Between Stephen G. Kennedy 96-01136 Name of Respondents Bear Stearns £ Company Christine H. Gibson REPRESENTATION Claimant Stephen G. Kennedy ("Claimant") was represented by David H. Zimmer, Esq., Potomac. MD. Respondents Bear Stearns & Company ("Bear Stearns") and Christine E. Gibson ("Gibson") were represented by Philip Mc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jeffrey B. Meitzer 96-01131 Name of Respondents Quick & Reilly, Inc. Robert W. Bay 1 iff CASE SUMMARY In a case filed with the National Association of Securities Dealers, Inc. on March 14, 1996, claimant Jeffrey B. Meitzer ("claimant"), who appeared Pro Se, alleged that respondents Quick & Reilly, Inc. ("Quick") and Robert

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arhitration Between Howard C. Baron Claimant, v. No. 96-01130 Ronald C. Cropper, Jr.. and Michael A. Orlino Respondents. REPRESENTATION OF PARTIES Claimant Howard C. Baron ("Claimant") was represented by Anthony V. Trogan, Esq. of Weisman Trogan Young & Schloss located in Bingham Farms, Michigan. Respondent Ronald C. Cropper, Jr. ("Cropper") was represented by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Shahnaz Keramati 96-01127 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc Brian P. Sexton CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 14, 1996, Claimant Shahnaz Keramati ("Claimant"), who appeared Pro Se, alleged that Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merril

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-01170 Raquel C. Nunez-Valdes Names of the Respondents Hearing Site: Tampa, Florida Richard B. Vance & Co. Robert Francis Daly Richard E. Vidican Stephen W. Bracken Mark J. Geregach Robert F. Pederson Dennis Lee Sluski John Richard Cislaghi James Scroggins Nature of the Dispute: Customer vs. Member and Associated Person

1 . N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jerry Ginsberg 96-01123 Name of Respondents Olde Discount Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 14, 1996, Claimant Jerry Ginsberg ("Claimant"), who appeared Pro Se, alleged that Respondent Olde Discount Corporation ("Respondent"), misrepresented the

A r AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Vemon A. And Marion V. Otte and 96-01120 Name of Respondents Discount Corp. Simmons & Bishop Co. Thomas C. Ziemba REPRESENTATION OF PARTIES Vernon A. And Marion V. Otte ("Claimants") was represented by Michael Salcido, Esq., Phoenix Arizona. OLDE DiscountCorp. ("OLDE") was represented by Ina Otto, Esq., OLDE

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James and Susie Coward, and 96-01107 Name of Respondent ^(Oppetiheimer & Co,, Inc., Kemper Clearing Corporation n/k/a/ Everen Securities Inc. REPRESENTATION OF PARTIES For Claimant: Claimant James and Susie Coward ("Cowards") were represented by Delia M. Stephens, Esq. in Houston Texas. For Respondent: Respondent Oppenheimer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elizabeth Stapleton 96-01105 Name of Respondents Jeffrey Keith Trilling LaJolla Capital Corporation REPRESENTATION For Claimant, Elizabeth Stapleton ("Stapleton"): Vincent J. D'Antonio, Esq., Fort Lauderdale, Florida. For Respondent, LaJolla Capital Corporation ("LaJolla"): James C. Weaver, Esq., San Diego, California,

N.A.S.D. REGULATION AWARD ASSOCIATION OF SECURITIES DEALERS REGULATION, INC, In the Matter of the Arbitration Between Name of Claimant Greenhouse Agency Profit Sharing Money ^u thr.se Plan 96-03101 Name of Respondents Brokers Exchange,, Inc. Donald B. Harris CASE SUMMARY In a case filed with the National Assocaition of Securities Dealers Regulation, inc. on March 13, 1996, claimant Greenhouse Agency Profit Sharing Mos^ey Purchase Plan ("clai