N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Philemon J. and Cecelia E. Marcoux 95-05737 Name of Respondents A.G. Edwards & Sons, Inc. John McLendon REPRESENTATION For claimants Philemon J. and Cecelia E. Marcoux ("claimants") appeared Peter Marcoux. For respondents A.G. Edwards & Sons, Inc. ("Edwards") and John McLendon ("McLendon" appeared in-house counsel, Hope Jo

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Tracey Herbranson, Claimant, and No. 95-05730 Smith Barney Shearson, Inc. and Jeffrey S. Stone Respondents, REPRESENTATION OF PARTIES Claimant Tracey Herbranson was represented by Tailim Song, Esquire of Hill Gilstrap, located in Arlington, Texas. Respondent Jeffrey S. Stone was pro se in correspondence, but was not represented and did not

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Andrew M. Welch and Leesa M. Welch and 95-05722 Name of Respondent J.C. Bradford & Co. REPRESENTATION OF PARTIES Andrew M. Welch and Leesa M. Welch ("Claimants") were represented by Jules L. Federman, Investor's Rights Association, Inc., Santa Barbara, California. J.C. Bradford & Co. ("Respondent") was represented by Linda G. Wi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael and Patricia Round 95-05716 Name of Respondents Smith Barney n/k/a Smith Barney Shearson, Inc. Marshall C. McClean CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 6, 1995, Claimants Michael and Patricia Round ("Claimant"), who appeared Pro Se, alleged that Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Albert, Maria and Arlene Sadek 95-05710 Name of Respondents William King CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 12, 1995, Claimants Albert, Maria and Arlene Sadek, who appeared Pro Se, alleged through Albert Sadek ("A. Sadek"), that Respondent William King ("King"),

NASD Regulation, Inc. Award OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant(s) Paul A. Mita 95-05704 Name of Respondent(s) Barron Chase Securities, Inc. Ty Edward Rodriguez Paul Giarmoleo First Montauk Securities Corp. Global Int'l Enterprises d/b/a Robert T. Kirk Paul Deperino REPRESENTATION For Claimant, Paul A. Mita ("Mita"), appeared George V. Cornell, III, Esq., located in Staten Is

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Slater Financial Corp. Howard Slater 95-05701 Name of Respondents) Smith Barney, Inc. f/k/a Smith Barney Shearson, Inc. Gwen C. Smith REPRESENTATION For Claimants, Howard Slater ("Slater") and Slater Financial Corporation ("SFC"): Charles P. Randall, Esq., Boca Raton, Florida. For Respondents, Smith Barney, Inc.

Arbitration & Mediation National Association of Securities Dealers, Inc. * NASD Financial Center * 33 Whitehall Street * New York, NY 10004 * Fax 212-858-4429 Washington DC Satellite office at: 1735 K Street, NW - 10th Floor * Washington, DC 20006 * Fax 202-728-6952 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant W. Knight Fairchild 95-05700 Name of Respondent Edwin Bell CAS

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Warren L. Scott IRA Account and 01-01108 Houston, Texas Name of Respondents Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc. Cheryl Black Taylor Robert Gehring REPRESENTATION OF PARTIES Warren L. Scott IRA Account ("Claimant") was represented by Warren L. Scott. Morgan Stanley D W Inc. f/k/a, Dean Witter Reynolds Inc. ("Respondent Morg

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Claimant Eleanor J. Mishel, and 95-05699 Respondents Bear Stearns & Company, Inc.; and William D. Hirsh. REPRESENTATION OF PARTIES For Claimant: Eleanor J. Mishel ("Mishel") was represented by Barry S. Rosen, Esq. of Sachnoff & Weaver, Ltd., located in Chicago, Illinois. For Respondents: Bear Stearns & Company, Inc. ("Bear Stearns") and Will