N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael and Annie Beilenson 95-04515 Name of Respondents Seaborad Securities Inc. Angelo Gibilsco Sergio Urratia ~~ ' > CASE SUMMARY * * [a a claim filed with the National Association of Securities Dealers, Inc. on September 25, .1995 Claimants Michael and Annie Beilenson ("Claimants"), who appeared Pro Se, alleged

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stephen H. Rosenoff Name of Respondent First Securities, Inc. 95-04510 © National Association of Securities Dealers, Inc. All Rights Reserved REPRESENTATION Claimant Stephen H. Rosenoff ("Claimant") was represented by David A. Furrow, Esq., Rocky Mount, Virginia, Respondent Wheat First Securities, Inc. ("Respondent'

AWARD NASD Regulation,'Inc. Office of Dispute Resolution In the Matter of Arbitration Between William Fox, Claimant, and No. 95-04506 Gruntal & Co., Inc., Oppenheimer & Co., Inc. and Richard Lynch, Respondents. REPRESENTATION OF PARTIES Claimant William Fox was represented by Thomas A. Hargett, Esquire of Maddox, Koeller & Hargett, located in Indianapolis, Indiana. Respondent Gruntal & Co., Inc. was represented by Harry D. Frisch

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC In the Matter of the Arbitration Between Earl L. Lester, Claimant, v. Prudential Securities, Inc. and Anne Davidson, Respondents. REPRESENTATION OF PARTIES CASE No. 95-04503 © National Association o Securities Deatr*' *-»c. •"^ 100/i All Rights Resewed Claimant, Earl L. Lester was represented by Kevin S. Fiur, Esquire and Christopher Norton, Esquire of Brist

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AWARD In the matter of the Arbitration Between Name of Claimant(s) Andrew G. & Antoinette Seroka Andrew G. Seroka, Trustee of Estate of Marie Sanson NASD Arbitration v. No. 95-04009 Name of Respondent(s) Cruttenden & Co. Charles Gray REPRESENTATION For Claimants: J. Leo Federman, Investors Rights Association, Santa Barbara, California For Respondents: Elizabeth A. Kendrick, Esq

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Number: 01-01054 Cathy A. Shankle : f^f thfi Res:nnfif|p:n^r'm^ptpr-r < 1a^j]Q^]^ Hearing-Site: St. Louis, Missouri UMB Bank/Scout Brokerage Services, Inc n Claimant/Counter-Respondent Cathy A. Shankle ("Shankle") was represented by Clyde E. Craig, Esq., located in St. Louis, Missouri. Respondent/Counter-Claimant UMB Bank/Scout Brokerage Services, Inc. ("UMB") was

AWARD NARD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between G. John Sevens - Claimant, No. 95-04000 Robert W Koch and Daniel F. Grasso Respondents. REPRESENTATION OF PARTIES Claimant G John Stevens ("Claimant") was represented by Marc E. Thomas, Esq. of Bendure & Thomas located in Detroit, Michigan. Respondent Robert W, Koch ("Koch") and Daniel F. Grasso ("Grasso") (collectively referred to as "R

N.A.S.D. AWARD & National Association of Securities Dealers, Inc. All Rights Reserved Claimant, Miller, Johnson & Kuehn, Inc. ("Claimant") was represented by Philip T. Colton, Esq. of Maun & Simon located in Minneapolis, MN. Claimant Miller, Johnson & Kuehn, Inc. ("Claimant") Submission Agreement'was signed by David B. Johnson, Executive Vice President. NASD AWARD Pi C A S E S - Y Claimant, alleged that Respondent, it former emplo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Allen J. Nogee 95-03997 Olde Discount Corporation Sean R. Waltz CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 21, 1995 Claimant Allen J. Nogee ("Claimant"), who appeared Pro Se, alleged that it held account # 023-14636 with Respondent Olde Discount Corporation ("GDC"), and his

iENT BY: 10-23-98 ; 9:21AM ;NASD ARBITRATION DPT- 12122085165;# 2f 5 NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION ARBITRATION AWARD NASD REGULATION. INC. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Nqme of Claimant Craig S. Crycr Name of Respondent Drake Capital Securities, Inc. REPRESENTATION For Claimant: For Respondent: CASE INFORMATION Statement of Claim filed: Claimant's Submission