N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Merrill Lynch Pierce Fenner & Smith Inc 95-05104 Name of Respondent Paul V. Grannan REPRESENTATION For Claimant, Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch"): Andrew Quigley, Esq. of Merrill Lynch, New York, New York. For Respondent, Paul V. Grannan ("Grannan"): Stanley T. Padgett, Esq. of Smith, Williams & B

NASD Regulation, Inc. AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants) Fahnestock & Co., Inc. 95-05101 Name of Respondentf s) Brian Patrick Smith REPRESENTATION Claimant Fahnestock & Co., Inc. ("Fahnestock") was represented by James S. Telepman, Esq. of Levine, Frank & Edgar, P.A., Palm Beach Gardens, Florida. Respondent Brian Patrick Smith was represented by Martin Gofberg of Securities Arbitration

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stanley Katz 95-05095 Name of Beacon Securities, Inc. Gary Lewis Donahue Karen Sue Billings Andrew Howard Cohen Jeffrey Streich REPRESENTATION For claimant Stanley Katz ("claimant") appeared Berthold H. Hoeniger, Esq. located in New York, New York. For respondent Karen Sue Billings ("Billings") appeared Leon B.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mary Jane and Gregory C. Moody 95-05081 Olde Discount Corporation Curtis S. Dahl REPRESENTATION For Claimants, Mary Jane and Gregory C. Moody ("Moody"): K. Michael Swann, Esq. of Snyderburn, Rishoi & Swann, Winter Park, Florida. For Respondent, Olde Discount Corporation ("Olde"): Lisa S. Fildes, Esq., Corporate Counsel for

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Audrey HolHs Name of Respondent Prudential Securities Inc. 95-05079 REPRESENTATION For Claimant Audrey Hollis ("Hollis"), Seth E. Lipner, Esq. of the law firm Deutsch & Lipner, located in Garden City, New York. For Respondent Prudential Securities Inc. ("Prudential"), Arthur Baumgartner, Esq. of Prudential, located in New Y

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven A. Brody Trust, Steven A. Brody Profit Sharing Plan, and Steven A. Brody IRA, Claimants v. First Union Securities, Inc. and Scott B. McVeigh, Respondents Case Number: 01-01090 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California For Respondents: Bruce Lewitas, Esq.

NASD Arbitration No. 95-05076 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant (s_L L. James Newman Name of Respondent(s) Allen B. Herman Berman & Stickel, Inc. Mark S. Stickel Susette Stickel Linda Olson Mitchell Brater REPRESENTATION For Claimant: Richard Sacks and Irwin G. Stein, Investors Recovery Service, Novato, California For Respondents A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Haraid H. Fauter, M.D. and Inge Fauter as Trustee for the Haraid H. Fauter, M.D., P.A., Defined Benefit Plan & Trust 95-05075 Name of Respondents Everett Scoville Walker Kenhinde Grace Cartwright & Walker Securities Inc. Golden West Unlimited, Inc. CASE SUMMARY In a claim filed with the National Association of Secur

NASD REGULATION, INC. AWARD i OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Robert S. & Maria Fede 95-05071 Name of Respondents Sherman Ralston, Inc. Anthony Martinez REPRESENTATION For Claimants Robert S. and Maria Fede ("Fede" or collectively, "Claimants") appeared Scott M. Zucker, Esq., located in Great Neck, New York. For Respondents Sherman Ralston, Inc. ("SRI") and Anthony Martinez ("Ma

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Elizabeth Alvarado c/f Ashleigh Schroeck Name of Respondent Commonwealth Associates 95-05069 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 25, 1995, Claimant Elizabeth Alvarado c/f AshJeigh Schroeck ("Claimant"), who appeared Pro Se r alleged that Respondent Commonwe