Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard Dinsmore, (Claimant) vs. Robert W. Baird & Co. Incorporated and Michael Acampora, (Respondents) Case Number: 01-01100 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Richard D. Dinsmore ("Claimant"): Randy Scott Zelin, Esq., Randy Scott Zeiin, PC, Westbury, NY. Respondent, Robert W. Baird & Co. Incorporated ("Baird") and Michael Acampora ("

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frank J. Lanza 95-05391 Name of Respondents Steven Hamm J.W. Barclay & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 13, 1995, Claimant Frank J. Lanza ("Claimant"), who appeared Pro Se, alleged that Respondents J.W. Barclay & Co., Inc., and Steve Hamm ("Hamm"),

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Bernard Kupfershmid Case No. vs. 95-05386 Name of Respondents Gruntal & Co., Inc. Maurice A, Gross, Jr. REPRESENTATION For Claimant, Bernard Kupfershmid ("Claimant") Susan L. Donegan, Esq. located in Boston, Massachusetts. For Respondents, Gruntal & Co, Inc. ("Gruntal") and Maurice A. Gross, Jr. ("Gross") (collectively "Respondents") Harry D. Fr

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Theresa, Gary & Deborah Heller 95-05382 Name of Respondents VFS Securities Douglas Penning All Financial Service REPRESENTATION For claimants Theresa, Gary & Deborah Heller ("claimants") appeared Howard Kurtzberg, Esq. with law offices located in Jericho, New York. Respondent VFS Securities ("VFS") did not enter an appearance in this matter. For responde

- N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Gerard and Maureen McWeeny 95-05367 Name of Respondents Commonwealth Associates Scott Oilman REPRESENTATION Claimants Gerard and Maureen McWeeny ("Claimants") appeared pro se. For Respondents Commonwealth Associates ("Commonwealth") and Scott Gilman ("Gilman") appeared J. P. Wilson, Esq. in-house counsel at Commonwealth

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between _ __ - Marvin Topic, Claimant, and No. 95-05364 Joseph Roberts & Co., Inc., Respondent. Claimant Marvin Topic ("Claimant") was represented by Anthony V. Trogan, Jr., Esq. of Weisman, Trogan, Young & Schloss, P.C., located in Bingham Farms, Michigan. Respondent Joseph Roberts & Co., Inc. ("Respondent") was represented in pleadings by David A. Gen

AWARD NASD Regulation, Inc. Office of Dispute Resolution-' _ In the Matter of the Arbitration Between Richard D. Niemi, Claimant, and No. 95-05360 Equity Securities Trading Co., Inc., Respondent. REPRESENTATION OF PARTIES Claimant Richard D. Niemi was represented by Daniel P. Taber, Esquire, located in Minneapolis, Minnesota. Respondent Equity Securities Trading Co., Inc. was represented by Vincent D. Louwagie, Esquire of Fruth & Anthony

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant William Todd Meredith 95-05343 Name of Respondents Curtis B, Fischer Greenway Capital Corporation REPRESENTATION Claimant William Todd Meredith ("Claimant") was represented by Robert E. Falligant, Jr., Esq., Savannah, GA. Respondent Greenway Capital Corporation ("Greenway") was not represented at the hearing. Respon

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 Claimants Petar Marovic and Rosy Marovic, individually and as Co-Trustees of the Marovic Family Trust NASD Regulation, Inc. v. Office of Dispute Resolution Arbitration No. 95-05333 Name of Respondents Prudential Securities Incorporated, and Arturo E. Matthews

7V.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITY HEALERS. TNC. In the matter of the Arbitration Between Name of Claimant Sherron L. Hall Name of Respondents Larry W. Mosher and Richard A. Garver NASD Arbitration No. 95-05331 For Claimant: Jeffrey L. Gaffhey, Esq. Law Offices of Jeffrey L. Gaffhey San Diego, California For Respondent Richard A. Garver: in pro per For Respondent Larry W. Mosher in pro per TTVFORMATIQN Statement