N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ William J. Raike. Ill 95-04656 Name of ResDondent(s) & National Association of Securities Dealers, Inc. First Colonial Securities, Inc. All Rights Reserved REPRESENTATION For Claimant William J. Raike, III ("Claimant") appeared Terry R. Weiss, Esq., of the firm Long Aldridge & Norman, located in Atlanta, Georgia For Re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-01066 Anthony Scott and Linda Katheryn Head, Claimants vs. Birchtree Financial Services, Katrina B. Gray and Douglas M. Day, Respondents. ATTORNEYS: For Claimants, Anthony Scott Head and Linda Katheryn Head, appeared William J. Gladden, Esq., Savannah, GA. For Respondents, Birchtree Financial Services, Katrina B. Gray and Douglas M. Day appeared Anthony J. Durone, Esq. of the firm

Award NASD Dispute Resolution, Inc. I;n the Matter of the Arbitration Between Name of Claimant David Baird Montgomery Case No. 00-00684 Name of Respondent A.G. Edwards & Sons, Inc. REPRESENTATION OF PARTIES For David Baird Montgomery, hereinafter referred to as "Claimant": William A. Coates, Esq., Love, Thornton, Arnold & Thomason, P.A., Greenville, South Carolina. For A.G. Edwards & Sons, Inc. ("A.G. Edwards"), hereinafter referred to as "R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ira Bernard Newman Name of Respondents Duke & Co. Inc. Victor Wang Gregg Thaler 95-04652 REPRESENTATION For Claimant Ira Bernard Newman ("claimant") appeared Brian S. Fraser, Esq., of the law firm Richards, Spears, Kibbe & Orbe located in New York, New York, For Respondents Duke & Co., Inc. ("Duke"), Victor Wang ("Wang"

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Alan A. Niederland 95-04651 Name of Respondents L.C. Wegard & Co., Inc. Brian Patrick Wells REPRESENTATION Claimant Alan A. Niederland ("Claimant") was represented at the hearing by James M. Strauss of Goodkind Labaton Rudoff & Sucharow LLP, New York, New York. Respondent Brian Patrick Wells ("Wells") was

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gateway Capital Investment Group, Inc. 95-04647 Name of Respondent The Third Market Corp. In a claim filed with the National Association of Securities Dealers, Inc. on October 2, 1995,n Claimant: Gateway Capital Investment Group, Inc., through it representative and CEO, Gene Wolfson, aflegedrthatipit Respondent The Third Market Cor

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard Fuscone, as Executor for the Estate of Frank L. Gentile, Deceased, ~^~' and 95-04646 Name of Respondents Kemper Securities, Inc., now known as Everen Securities, Inc.; Michael Kavanagh. REPRESENTATION OF PARTIES For Claimant: Claimant Richard Fuscone, as executor of the Estate of Frank L. Gentile ("Gentile"), was

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Francis L. Chew and Alice L. Chew, Trustees of the Chew 1989 Family Trust, and James T. Nelson, as Undivided Tenants-In-Common Arbitration No. 95-04639 Name of Respondent(s) TITAN/Value Equities Group, Inc. REPRESENTATION For Claimants: J. Leo Federman, Investors Rights Association, Inc., Santa Barbara, Californi

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the matter of the Arbitration Between NASD Regulation, Inc. No. 95-04634 Claimant Smith Barney, Inc. vs. Respondent Louise Schneider REPRESENTATION OF PARTIES For Claimant: Debra Ellers, Esq., Holland & Hart, LLP, Boise, Idaho For Respondent: Louise Schneider, in pro per. Boise, Idaho CASE INFORMATION Statement of Claim filed: September 29, 1995 Claimant's Submissi

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Martini &. Assoc. Ltd. Profit Sharing Plan 95-04630 Name of Respondents Capital Analysts Inc. REPRESENTATION Claimant Martini & Associates Ltd. Profit Sharing Han ("Claimant") was represented by Brian P. Murphy, Esq. pfthe law firm of Griffin, Berenson & Murphy, Washington, D.C. Respondent Capital Analysts Inc. ("Respondent*') was