NASD Arbitration No. 95-04863 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) The Bovet Family Trust Name of Respondent(s) Brett E. Hirsch REPRESENTATION For Claimant: Lori A. Lutzker, Esq., Carr, McClellan, Ingersoll, Thompson & Horn, Burlingame, California For Respondent: No Appearance by Brett E. Hirsch CASE INFORMATION Statement of Claim filed: Octob

,A< NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Dennis Guptil Claimant, v. No. 95-04862 Chatfield Dean & Co., Inc., Andrew S. Pesner, and John M. Dabal Kjgtiis Reserved Respondents. REPRESENTATION OF PARTIES Claimant Dennis Guptil was represented by;Bx>bert A,,;fiife^^ Respondent Chatfield Etean:& Co,, Inc. wa& represented by ChristaD. Taylor; Esquire, olCJhatfiekl Dean

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between long Shu Li, Claimant, v. No. 95-04861 AAA Stockbrokers, Inc., and Fusung Peter Wu, Respondents. REPRESENTATION OF PARTIES Claimant long Shu Li was represented by J. Brantley Saunders of The Barbknecht Firm located in Dallas, Texas. Respondents AAA Stockbrokers, Inc. and Fusung Peter Wu were represented by Jonathan A. Pace, Esquire of Pa

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Lawrence Fagelbauxn Individually and as Custodian for Harry Fagelbaura and Gary Fagelbaum; Harry, Lawrence, Gary and Martin Fagelbaum, JTWROS; and Harry Fagelbaum 95-04858 Names of Respondents Fahnestock & Co., Inc. and Anthony V. Boniello REPRESENTATION For Claimants: Russell L. Forkey, Esq., Fort Lauderdale,

- V / NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Shirley J. Watson and NASD Case Number: 95-04856 Name of Respondents A.G. Edwards & Sons, Inc. Robert Michaei Kelly REPRESENTATION OF PARTIES Claimant Shirley J. Watson was represented by Michael C. Crowley, Esq. of El Paso, T&a&u \. : rn Respondents A.G. Edwards & Sons, Inc. and Robert Michael Kelly wer

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 Elana Traub and Lois Esformes Name of Respondents Gilford Securities, Inc. and Norcross Securities, Inc. NASD Regulation, Inc. Office of Dispute Resolution Arbitration No.95-04851 REPRESENTATION For Claimants: For Respondent Norcross: Statement of Cl

NASD Arbitration No. 95-04850 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Joseph Z. Ehrlich and Judith Ehrlich Name of Respondent(s) Smith Barney, Inc., Joanne D. Astle and S. Michael Astle REPRESENTATION For Claimants: ; Thomas M. Adams, Esq. Marina del Rey, California For Respondents: " Sean J. Coughlin, Esq. Smith Barney, Inc. New York, New York

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants $ National Association Securities Dealers. Tnc. David R. and Christine A. Basel Name of Respondents Prudential Securities, Inc. William H. Kost, Jr. 95-04674 All Rights Resend REPRESENTATION Claimants David R. and Christine A. Basel ("Claimants") were represented by William S. Burroughs, Jr., Esq., At

NASD Regulation, Inc., Office of Dispute Resolution Arbitration No. 95-04673; Award Page 1 of 5 NASD Regulation, Inc., FCVAL ORDER La the Matter of Arbitration Between Douglas Casavant, Michael Moore, Noel Adams, Ruby Adams, Edward Ferrari, Lute Eldridge, David Williams, Mark Lunski, William Ray, and Carolyn Browning, Claimants, and No. 95-04673 Dean R. Kennedy, Scott Kennedy, Richard J. Kennedy, Texakoma Financial, Inc., and Texakoma Oi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James Fiore Richard Van Steen Patrick Donelan David Steele 95-04672 Name of Respondents D. Blech & Company, Inc. David Blech REPRESENTATION For Claimants James Fiore ("Fiore"), Richard Van Steen ("Van Steen"), Patrick Donelan ("Donelan"), and David Steele ("Steele"): Bradley Schram, Esq. of Hertz, Schiam & Saretsky