r -.. AWARD NASD Regulation, Incorporated Office of Dispute Resolution In the Matter of Arbitration Between Arthur Bice Asbury, Jr., Claimant, and No. 95-05061 Aetna Life Ins. & Annuity Co. Respondent. REPRESENTATION OF PARTIES Claimant, Arthur Bice Asbury, Jr. ("Asbury 11 ), was represented by Cynthia N. Asbury, Esquire bfHvjr Bice Asburj Asbury & Asbury, located in Nashville, Tennessee. v^ Anbury, kx;:i-ed >u Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carl T. Coe 95-05058 Name of Respondents J. C. Bradford & Co. David W. Svete CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 25, 1995, Claimant Carl T. Coe ("Claimant"), through his representative and counsel, James E. Jasinski, Esq., of UAW-GM Legal Services Plan, located

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Serenella Arthur c/f Robert A. Signore 95-05056 Name of Respondents Smith Barney, Inc. f/k/a Shearson Lehman Brothers Stuart Kirk Eason CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 25, 1995, Claimant Serenella Arthur ("Claimant"), custodian for Robert A. Signore, through her

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Rosa M. Thomas Melynda M. Hunter v. Name of Respondents! Titan/Value Equities Group, Inc. Marilyn Blake Arbitration No. 95-05054 For Claimants: For Respondents: REPRESENTATION Steven M. Green, Esq. San Diego, California Kari S. Turigliatto, Esq. Titan/Value Equities Group, Inc. Irvine, Califor

NASDR AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between G National Association of Name of Claimant Secwilies De *" ' nc - Laurie White Pope and Case Number 95-0504^ **"» *"""" Names of Respondents AOppenheimer & Company, Incorporated ::L:, r: , and Charles Hurst . Laurie White Pope ("Clamant") was represented.'by Charles b/Poweli, Esquire BrowmJ?arker& ^eahy, L.L.P^from

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-01088 Paul A. Greco and Carmella M. Greco, claimants vs. Richard J. Volpe , respondent. ATTORNEYS: Claimants appeared Pro Se, Trappe, PA. Respondent appeared Pro Se, Harleysville, PA. DATE FILED: March 5, 2001 CASE SUMMARY: Claimants alleged that respondent misrepresented and omitted facts when he recommended a certain stock investment, thereby causing a loss in their account. C

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Inga Mayo v. Name of Respondents David Weiss, Neal Stein, William J. Reiniger John Klingenmeier, Alex Kahan, and Global Strategies, Inc. Arbitration No. 95-05036 For Claimant: For Respondents Neal Stein, and Global Stategies, Inc.: For Respondent Alex Kahan: REPRESENTATION Brian J. Sheppard, Esq. Law Offices of Brian J. Sheppard

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Sherwin J. and Shirley A. Fischer; Sherwin J. Fischer, as trustee of the Esquire Personal Services, Inc. Defined Pension Plan, DTD 3/6/85; and Esquire Personal Services, Inc.; Claimants, and No. 95-05035 Gruntal & Co., Inc. Respondent. REPRESENTATION OF PARTIES For. Claimants: Esquire Personal Services, ("Esquire"), Sherwin J. Fischer, as truste

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Q^imant Marie Owens Name of Respondent Dean Witter Reynolds, Inc. 95-05033 © National Association of Securities Dealers T **c. —~ 19% AilRightsReservcd REPRESENTATION For Claimant: K. Michael Swarm, Esq. of the law firm of Snyderbum, Rishoi & Swarm, Winter Park, Florida. For Respondent: George Sullivan, Esq.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph H. and Mary Lou Purvis 95-05030 Name of Respondents Prudential Securities Inc Thomas N. Tronolone CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 24, 1995, claimants Joseph H. and Mary Lou Purvis ("claimants") stated that until 1992 they had made good returns on the