^/v' 7 0^ • w *. -> NASD REGULATION. INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Allan Singer 95-05025 Names of Respondents Harmonic Research Mason Sexton REPRESENTATION For Claimant Allan Singer ("Claimant") appeared John F. Fox, Esq., a private practioner with ^offices located in Totowa, New Jersey. ;; ! r "!..'• ; r, ]>s ,|-or;Re^o^ ("HR t

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Jerry Sparks and Maria Poteet and Name of Resnondent Quick & Reilly, Inc. Bruce Bratt REPRESENTATION OF PARTIES Jerry Sparks and Maria Poteet ("Claimants") were represented by Murray I. Weiner, Gleason ; & Weiner,;P,C. S Colorado Springs, Colorado. i 95-05023 © National Association of Securities U

AWARD ,A ri ' NASD Regulation, Inc. Office of Dispute Resolution ©National Association of Securities Dealers. Inc. In the Matter of the Arbitration Between *~ • 199* Stifel, Nicolaus & Co., Inc., All Rights Reserved Claimant, v. No. 95-0502 1 Robert M. Cochran, Respondent. REPRESENTATION OF PARTIES Claimant Stifel, Nicolaus & Co., Inc. was represented by Tom Archer, Esq. and Dan O'Neill, Esq. of Bryan Cave LLP located

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Johnny Kegler Case No. vs. 95-05019 Names of Respondents Bear Stearns & Company Fidelity Brokerage Services, Inc. Tyrone Burroughs REPRESENTATION For Claimant Johnny Kegler ("Claimant") appeared Richard G. Curtis, Esq. of the law firm Lacy Katzen Ryen & Mittleman, LLP located in Rochester, New York. For Respondents Bear Stearns & Company ("Bear Ste

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barbara A. Allen 95-05018 Name of Respondent Dickinson & Co. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 24, 1995 Claimant ^Barbara A; ? Alleri ("Claimant"), who appeared Pro Se, alleged that she held account W3WW$tfcwiih ^Respondent Dickinson & Co. ("Respondent") a

NASDR AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. Lon E. Smallridge, Claimant, v. Case No. 95-05017 R.G. Dickinson & Company nl A ^c: and Brian L. Heithoff, "sel-i^-.i^ iw-*- • Respondents. REPRESENTATION OF PARTIES , JE^ '•',,, {; ,,; I < '-''* ^ :^ l ^^ ! " A^ 'V , ...... . . .. -.. - . 0i Rpsppridents., R':G.HPickinsoni&-Co. and Brian L. Heithoff were jrepr^sent^by «j Esquire of Dickinson

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Anthony Zockoll, Claimant v. Kimberly Securities, Inc., Kimberly Misuraca, and Philip J. Hourican, Respondents Case Number: 01-01086 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimant: P. Sterling Kerr, Esq. Kerr & Associates Las Vegas, Nevada For Respondents: Charles M. O'Rourke, Esq. Law Offices of Charles M. O'Rourke Woodbury, New Yor

NASD REGULATION, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Lawrence Lynn 95-05015 Name of Respondents Smith Barney Shearson, Inc. J.J. Morgan & Company Inc. Gilford Securities, Inc. Joseph Marc Blumenthal Vincent R. Drohan REPRESENTATION For Claimant Lawrence Lynn ("claimant") appeared Jacques G. Simon, Esq. a sole practioneer located New York City, New York. For Respondent Smith Barney Shearson, Inc. (

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Cassandra, Catherine and Jessica Pelledto 95-05014 l^ame of Respondents MetLife Securities Inc. Carol J. Sullivan CASE SUMMARY ^In a claim filed with the National Association of Securities Dealers, Inc. on October 23, 1995vCMmantsk Cassandra, Catherine and Jessica Pelleritd ("Claimants"), who appeared Pro Se, alleged that^the^

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frank Oravec c/f Matthew Oravec, UGMA/PA 95-05013 Name of Respondents Redstone Securities, Inc. Vincent Calvaruso CASE SUMMARY In a case filed with the National Association of Securities Dealers, Inc. on October 23, 1995, claimant Frank Oravec c/f Matthew Oravec, UGMA/PA ("claimant"), who appeared Pro Se, alleged that respo