NtA.StP. AWARD ' ' LN ', ' ° c ^^ Association of Securities 1 NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between All Rights Reserved fe of C!laiman1-(s) Sohail Masood NASD Arbitration No. 95-0492.2 Name of Respondent: is] Prudential Securities Incorporated REPRESENTATION For Claimant: Mitchell E. Hornecker, Esq., Schwabe, Williamson..*. Wyatt/ :P.Cv, Portland/ Oregon' -- ; ;

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 Claimant RECEIVED MAR 0 7 1997 ttSD-MUTIATIOH MEDIATION RandellB. Hill MAR 1 0 199 v. NASD Regulation, Inc. Office of Dispute Resolution Arbitration No.95-04921 Name of Respondents T.R. Winston & Co., Inc., and Jeff Kahn REPRESENTATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John J. Kelley Award No. vs. 95-04919 Name of Respondents Barren Chase Securities George Klepacki REPRESENTATION For Claimant, John Keiley ("Claimant"), Frank Liberty, Esq. from the law firm of Greenberg and Parenteau, located in New London, Massachusetts. For Respondent, Barron Chase Securities, Inc. ("Ban-on Chase") E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ira N, & Lois Weinstein Morris & Edith Weinstein Edith Weinstein C/F Joshua Z. Weinstein Edith Weinstein C/F Michael J. Weinstein Edith Weinstein C/F Nola B. Weinstein Edith Weinstein C/F Melanie Z. Weinstein 95-04914 Name of Respondents Prudential Securities Inc Robert Klein REPRESENTATION For Claimants Ira N.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Koonce Securities Inc. 95-04907 Name of Respondent Charles C. Maxwell CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 17, 1995, Claimant Koonce Securities, Inc. ("Claimant"), through its representative, Calvin S. Koonce, of Bethesda, MD., alleged that Respondent Charles C. Maxw

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Scott McNairy, Claimant, v. No. 95-04905 Morison Securities, Inc., Alfred Joseph Rashid, Strommen & Associates, Strommen Financial Group, and Swenson Anderson Associates, Inc. Respondent. REPRESENTATION OF PARTIES Claimant Scott McNairy was represented by Rebecca E. Bender, Esquire of Minneapolis, Minnesota. Respondents Morison Secur

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Elizabeth J. Grigson 95-04901 Name of Respondents Prudential Securities, Inc. James Bailey REPRESENTATION Claimant Elizabeth J. Grigson ("Claimant") was represented by James N. Gross, Esq., Philadelphia, PA. Respondents Prudential Securities, Inc. ("PSI") and James Bailey ("Bailey") were represented by Nor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Theodore J. Schwartz 95-04894 Name of Respondents Spelman & Co., Inc. William P. Carroll REPRESENTATION For Claimant appeared Deirdre S. Venables, Esq., a sole practitioner located in South Hampton, New York. For Respondent Spelman & Co., Inc. appeared John P. Clone of Solana Beach, California. Respondent William P. Ca

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: State Street Securities, Inc. d/b/a Taylor Stuart Financial, (Claimant) vs. Louis M. Gomes and Paula Gomes, (Respondents) Case Number: 01-01076 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, State Street Securities, Inc. d/b/a Taylor Stuart Financial, hereinafter referred to as "Claimant": Lawrence S. Leibowitz, Esq., Wexler & Burkhart, P.C.

NASD REGULATION, INC. AWARD NASD REGULATION, INC, In the Matter of the Arbitration Between Name of Claimants Lewis J. Sperber Sperber Adams & Co., Inc., Sperber Adams Associates 95-04887 Name of Respondent Westport Resources Investment Services REPRESENTATION For Claimants, Lewis J. Sperber ("Sperber"); Sperber Adams & Co., Inc. ("SAC"); and Sperber Adams Associates ("SAA"), collectively ("Claimants"), appeared Alan R. Spirer, Esq. of th