AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Robert Blashka Case No. 96-01100 Greenway Capital Corporation, Mayer A. Amsel, David Amsel National Financial Service Corp., REPRESENTATION Robert Blashka ("Claimant") was represented by Laurie J. DoIIinger, Esq. of the law firm of Gusrac Kaplan, & Bruno. New York, New York. Greenway Capital Corporation ("Greenwav") did not appear. Mayer Amsel ("Amsel') did not

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION ARBITRATION AWARD NASDREGULATION. INC. - OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant John Vitali Name of Respondent Charles Schwab & Co., Inc. NASD Regulation, Inc. Office of Dispute Resolution Arbitration No. 96-01096 REPRESENTATION For Claimant: For Respondent: Statement of Claim filed: CASE INFORMATION Claimant's Answer to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-01169 Richard Conti Barbara Conti Names of the Respondents Hearing Site: Tampa, Florida Preferred Securities Group, Inc. Theodore Kaprel Malkasian Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Richard Conti ("RC") and Barbara Conti ("BC"), hereinafter collectively referred to as "Cla

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. and 96-01092 Name of Respondent Frederick W. Azeltine REPRESENTATION OF PARTIES For Claimant: Prudential Securities Incorporated was represented by Steven P. Gomberg, Esq., Gomberg Kane & Fischer, Ltd., 208 South LaSalle Street, Suite 1800, Chicago, Illinois 60604. For Respondent: Frederick W. Azeltin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph Schneider 96-01083 Name of Respondent Vision Investment Group, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 11, 1996, Claimant Joseph Schneider ("Claimant"), who appeared Pro Se, alleged that Respondent Vision Investment Group, Inc. ("Respondent"), through its repr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jerome D. Simon and Joyce B. Simon 96-01081 Name of Respondent La Jolla Capital Corporation Name of Third-party Claimant La Jolla Capital Corporation Name of Third-party Respondent David W. McMullian CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 11; 1996, Claimants

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimant Frank A. Pansini 96-01074 Name of Respondent Donald & Co. Securities Inc. Harold Eugene Stice Anthony Potecorvo Raymond Levitzki Stephen West Stephen Allan Blum Jack Guerriero : !' ) Paul Favata REPRESENTATION For Claimant, Frank A. Pansini, appeared Lisa Ann Enoch, Esq., sole practioner located in Chappaqua,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Cecilia E. Perry as Trustee for the Cecilia E. Perry Trust 96-01072 Name of Respondents Merrill, Lynch, Pierce, Fenner & Smith, Inc. Kenneth Towers CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 11, 1996, claimant Cecilia E. Parry as Trustee for the Cecilia E. Perry Trust ("

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION ARBITRATION AWARD NASD REGULATION. INC OFFICE QF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Selda Hollander as Trustee of the Selda Hollander Trust NASD Regulation, Inc. Office of Dispute Resolution Arbitration No. 96-01067 Name of Respondents Commonwealth Associates, Inc., GuyClemente, and Richard Campanella REPRESENTATION For Claimant

NASD Regulation, Inc. AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant(s) Donald A. Herman, M.D. 96-01066 Name of Rcspondent(s) Morgan Keegan & Company Inc Francis Maus REPRESENTATION Claimant Donald A. Berman ("Herman") appeared pro se. For Respondents Morgan Keegan & Company, Inc. ("MKC") and Francis Maus ("Maus"): David M. Minnick, Esq., in-house counsel at MKC, Memphis, Tennessee. \ CASE INFOR