NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between James Stoyanoff, and Jamie Griffith. Claimants. No. 95-03994 Texas Capital Securities. Inc.. and Joseph C. Klapesky, Respondents. REPRESENTATION OF PARTIES James Stoyanoff, and Jamie Griffith ("Claimants") appeared on their own behalf. Texas Capital Corporation, Inc., and Joseph C. Klapesky ("Respondents") were represented by Don Katz

N.A.S.D. FINAL ORDER NATIONAL ASSOCIATION OF SKCURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) (irace Schwartz 95-03993 Name_of Respondents) Halpert, Oherst and Company Roger Farquhar REPRESENTATION Claimant Grace Schwartz appeared Pro Se. For Respondent Halpert & Co., Inc. appeared Mari-Anne Pisarri, Esq. of Pickard and Djinis, a law firm located in Washington, D.C. Respondent Rodger W. Farquhar appeared

NASD REGULATION, INC. STIPULATED AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Ul USA, Inc. 95-03992 Name of Respondent RAS Securities Corporation For Claimant UI USA, Inc., ("claimant") appeared Stephen Rinehart, Esq. of Parker Chapin Flattau & Klimpl, LLP., New York, New York. For Respondent RAS Securities Corporation ("respondent") appeared Sheldon Gopstein, Esq., New York, New York. CASE IN

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS [n the Matter of the Arbitration Between Name of Claimant Roy T. Shannon 95-03991 Name of.Respondents Quick and Reilly, Inc. Gus Coutiakis REPRESENTATION Claimant Roy T. Shannon ("Claimant") was represented at the hearing by Morris J. Levin, Esq., Attorney at Law, Washington, DC. Respondents Quick and Reilly, Inc. ("Quick and Reilly") and Gus Coutiakis ("Coutiakis") were repre

N.A.S.D..AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In The Matter of the Arbitration Between Name of Claimant Bruce E. Kibler 95-03985 Name of Respondents A.G. Edwards & Sons, Inc. M. Jane Matoesian CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 18, 1995, Claimant Bruce E. Kibler ("Claimant"), who appeared Pro Se, alleged that Respondent A.G. Edwards & Sons, Inc. ("A.G. Edwards

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Charles and Rose Fairbanks 95-03984 Name of Respondents Rickel and Associates Inc. John Rock Robert Chason Paul Kotos REPRESENTATION For Claimants Charles and Rose Fairbanks ("the Fairbanks'*): Stephen D. Spivey, P. A., Ocala, Florida. For Respondent Rickel and Associates, Inc. ("Rickel"): Vincent P. Sarnatora, Dir

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kendra Poulsen, Claimant v. National Planning Corporation, Respondent Case Number: 01-01048 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: H. Thomas Fehn, Esq. Fields, Fehn & Sherwin Los Angeles, California For Respondent: Jennifer A. Zolezzi, Esq. Jones, Bell, Abbott, Fleming & Fitzgerald Los Angeles, California CASE INFORMATION

ARBITRATION AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Shy Glass, Tillie Glass and Jerry Glass 95-03975 Name of Respondents Beacon Securities, Inc.; Regional Operations Group, Inc.; Jeffrey L. Streich; David A. Scheffler; Keith Youngswick; RPR Clearing, a Division of Rauscher Pierce Refnes, Inc. REPRESENTATION For Claimants: Shy Glass, Tillie Glass and Jerr

Case No. 95-03974 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ronald D. Weisel & Audio of America, LTD v. Name of Respondents South Richmond Securities, Inc. Erik John Drewes Bruce Guarino Rickel £ Associates REPR^SgNTATIQN For Claimants, Ronald Weisel and Audio By Design ("Claimant"), appeared David Hirschberger, Esq. of Wexler & Burkhart located in Mit

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants LeRoy A. Smith, M.D., P.A, Pension Plan LeRoy A. Smith 95-03969 Names of Respondents Evensky & Brown Investments Inc. Marc H. Singer REPRESENTATION For Claimants, LeRoy A. Smith, M.D,, P.A. Pension Plan and LeRoy A. Smith ("Smith"): Frank R. Brady, P.A., Boca Raton, Florida. For Respondent, Mark H. Singer ("Singer"); T