VV ^ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of QaJmant James R. Kellam, Executor of the Estate of Eleanor H. Kellam 95-03287 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc. Thomas A. French David Ruckman- REPRESENTATION For claimant James R. Kellam, Executor of the Estate of Eleanor H. Kellam ("claimant") appeared James R. Kellarn, Esq. For re

• " N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gilford Securities, Inc. 95-03286 Name of Respondent Chris Eminente CASE SUMMARY In a claim tiled with the National Association of Securities Dealers, Inc. on July 10, 1995, Claimant Gilford Securities, Inc. ("Claimant"), through it representative, Larry Wachler, alleged that Respondent Chris Eminente ("Respondent"), commen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael Batlan 95-03285 Name of Respondents AFM Investments, Inc. Louis G. Scatigna Christopher Faustmann REPRESENTATION For Michael Batlan ("Batlan") appeared Robert I. Rabinowitz, Esq., located in Red Bank, New Jersey. For Respondents AFM Investments, Inc. ("AFM") and Louis G. Scatigna ("Scatigna") appeared Jerome M.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between William M. Goodman Claimant, v. No. 95-03284 Oppenheimer & Co., Inc. and Kidder, Peabody & Co., Inc. n/k/a PaineWebber, Inc. Respondents. REPRESENTATION OF PARTIES Claimant William M. Goodman ("Claimant") was represented by Joseph H. Spiegel, Esq. of Southfield, Michigan. Respondent Oppenheimer & Co., Inc. ("Oppenheune^was represented by

wi i n \ \ ty / N.A.S.D. AWARD N'ATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Catherine Lin-Hendel & Rudi Hendel Name of Respondents NASD Case No. $ National Association of 95-03279 Securities Dealers '->c. VHalpert & Co. All Rights Reserved 1 Robert Browne REPRESENTATION Rudi Hendel appeared for claimants Catherine Lin-Hendel ("Lin-Hendel") and Rudi Hendel (together referre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jerome and Mildred Toder 95-03274 N^rne of Respondents o National Associauon ot Securities Dealers, Inc First Hanover Securities Stephen Guzofsky All Rights Reservec ; REPRESENTATION Claimants Jerome and Mildred Toder ("claimants'*) appeared pro se. For respondent First Hanover Securities ("First Hanover") appe

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between O National Association of Name of Claimant Securities Dealer,. Inc. PaineWebber, Inc. ****" 1996 Case No. vs. 95-03271 All Rights Reserved Name of Respondent Robert D. Sherwin REPRESENTATION For Claimant, PaineWebber, Inc. ("PW"), Steven L. Manchell, Esq. and Bradford Hermanson, Esq., from the firm of Choate, Hall, & Stewart, located in Boston, Massachusetts. For Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas J. Boyce 95-03261 Name of Respondents La Jolla Capital Corporation James A. Revels CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 6, 1995, Claimant Thomas J. Boyce ("Claimant"), who appeared Pro Se, alleged that Respondent La Jolla Capital Corporation ("La Jolla"), thr

In the Matter of the Arbitration Between: Name of Claimant Joseph P. Mauer Name of Respondent Mutual Trust Co. of America Securities Case Number: 01-01013 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Joseph P. Mauer ("Claimant"): Scott C. Ilgenfritz, Esq., Johnson, Blakely, Pope, Bokor, Ruppel & Bums, P. A., Tampa, Florida. On or about June 20, 2002, Scott C. Ilgenfritz withdrew. Thereafter, Claimant appeared pro se. For Mutual

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alvin W. Daughtridge 95-03260 Name of Respondents Gruntal & Company Nick Solomon REPRESENTATION Claimant, Alvin W, Daughtridge, appeared pro se. For Respondents, Gruntal & Company and Nick Solomon, appeared Harry Frisch, Esq. in-house counsel with Gruntal & Company located in New York, New York. CASE INFORMATION Sta