AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Charles Samuel Neas and 95-05889 Name of Respondent PrimeVest Financial Services, Inc. Stephens, Inc. -- Synovous Securities, Inc. First Citizens Bank of Cleveland REPRESENTATION OF PARTIES Charles Samuel Neas ("Claimant") was represented by John E. Lawlor, Esq., Mineola, New York. PrimeVest Financial Services, Inc. ("Re

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Rober* T Weigand Claimant, v. Case No. 95-05887 Olde Discount Corporation and Jeffrey Wild Respondent. REPRESENTATION OF PARTIES Claimant Robert J. Weigand ("Claimant") did not appear at the hearing and was unrepresented. Claimant was previously represented by Lawrence M. Elkus, Esq. and Joseph H. Spiegel, Esq. both of Southfield, Mi

AWARD NASD Regulation. Inc. In the matter of the Arbitration Between Name of Claimant(s) Christian V. Ekberg Arbitration No. 95-05886 Name of Respondent fsi Smith Barney Inc. REPRESENTATION For Claimant: John R. Kiefner, Jr., Esq. and Clifford J. Hunt, Esq., Riden, Earle & Kiefner, P.A., St. Petersburg, Florida For Respondent: Sean J. Coughlin, Esq. and Marcie S. Mintz, Esq., Smith Barney Inc., New York, New York CASE INFORMATION

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Precision Associates, Inc. and 95-05884 Name of Respondent Gruntal & Co., Inc. Darwin Martinez REPRESENTATION OF PARTIES Precision Associates, Inc. ("Claimant") was represented by Sidney J. Spaeth, Esq., Faegre & Benson, P.L.L.P., Minneapolis, Minnesota, Gruntal & Co., Inc. ("Respondent Gruntal") and Darwin Martinez ("Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants L.Patrick Furlong and Valley Retail Service 95-05870 Name of Respondent Dean Witter Reynolds Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 15, 1995, Claimants L. Patrick Furlong and Valley Retail Service ("Claimant"), who appeared Pro Se, alleged that Respondent Dean W

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Anita and Leonard Falk Name of Respondent PaineWebber, Inc. Michael Sandberg Case Number: 01-01115 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Anita and Leonard Falk, hereinafter also referred to as "Claimants": Albert A. Rapoport, Esq., Boca Raton, Florida. For PaineWebber, Inc. ("PaineWebber") and Michael Sandberg ( t4

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Philip W. Bodine and 00-00701 Indianapolis, Indiana Name of Respondent First Union Securities, Inc. REPRESENTATION OF PARTIES Philip W. Bodine ("Claimant") was represented by Mark Maddox, Esq. And Andrew Stoltmann, Esq., Maddox Koeller Hargett & Caruso, Indianapolis, Indiana. First Union Securities, Inc. ("Respondent") was represented by Bernard

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Daniella Pashko, (Claimant) vs. Anthony LaPenna, Alex J. Gonzalez, Jr., R.D. White & Co., Inc., Richard Dambakly and J.W. Barclay & Co., Inc., (Respondents) Case Number: 00-00085 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Daniella Pashko, hereinafter referred to as "Claimant": Frank E. Derby, Esq., Skadden, Aarps, Slate, Meagher & Flohm LLP, New

AWARD NASD, Regulation, Inc., Office of Dispute Resolution. In the Matter of the Arbitration Between NASD Regulation, Inc. No.95-05856 David J. Lawson Claimant vs. Bear Steams Securities Corporation Stephen Buxton Respondents REPRESENTATION OF PARTIES For Claimant: Stephen J. Hill, Esq. Snow, Christensen & Martineau Salt Lake City, Utah For Respondent: Represented by counsel until just prior to hearing; no appearance

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between H.G. Bossley and Carole P. Bossley, Claimants, and No. 95-05855 Mariner Financial Group, Inc., Joe F. Moore, Jr., and Brokers Transaction Services, Inc., Respondents. REPRESENTATION OF PARTIES Claimants H.G. Bossley and Carole P. Bossley were represented by Don K. Leufven, Esquire of Alonso & Cersonskym P.C., located in Houston, Texas. Responden