N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimants Lawrence P. Barnes v. Name of Respondents Securities, Inc., Joel D. Kettler and George T. Bergh © National Association of Securities All Rights Reserved NASD Arbitration No.95-03127 For Claimant: REPRESENTATION Phil Aidikoff, Esq. and Robert A. Uhl, Esq. Aidikoff &Uhl Beverly Hills, California

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Nicholas D. Ricco, Anna G. Riccoand Maria G. Chetti, Claimant, © National Association or Securities Dealers, I" c AH Rights Reserved v . No. 95-03120 Prudential Securities, Inc. and Michael J. Goodman, Respondent, REPRESENTATION OF PARTIES The. Claimants Nicholas D. Ricco ("Nicholas"), Anna G. Ricco ("Anna"), and Maria G. Chetti ("Maria") were represented by Wi

V M.A.S.D. AWABD NATIONAL ASSOCIATION OF SECURITIES HE!ATJSRS. TMP In the matter of the Arbitration Between ©NathmalAs. * • Securitie3>ealerslnc. Name of Claimant (.^i All Wgftts Reserved Edward E. Amende, Jr. and Janice Amende, Trustees of The E.E. Amende Defined Benefit Pension Plan NASD Arbitration No. 95-03114 Name of Respondent: (s) Thomas James Associates, Inc. John F. Winnick John M. Johnson For Claimants: R. Jeffr

-' / AWARD NASD REGULATION. INC. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration between Name of Claimant Shishir Gupta v. Arbitration No. 95-03110 Name of Respondents Berkeley Securities Corporation and Naresh Belwal REPRESENTATION For Claimant: H. Thomas Fehn, Esq. Fields, Fehn & Sherwin Los Angeles, California For Respondent Berkeley Securities Corporation: No Appearance For Respondent Naresh Belwal: Barr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name^of Claimant Arthur Earl Masters Family Trust 95-03102 Name of Respondent Mark Savoca CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 26, 1995, Claimant Arthur Earl Master family Trust ("Claimant"), who appeared Pro Se through Arthur Earl Masters, alleged that he held an account with Hanover S

KA.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Bonnie M. Bibey 95-03100 Name of Respondents) Noble Investment Co. of Palm Beach Jeffrey M. Scholar REPRESENTATION For Claimant Bonnie M. Bibey ("Bibey"): Casey Mills, Esq. of the law office of Casey Mills, Esq,, Ft Lauderdaie, Fi. For Respondents Noble Investment Co. of Palm Beach ("Noble") arid Jeffrey M. Schuler ("

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Padula Living Trust v. Arbitration No. 95-03098 Name of Respondents f Brokers Investment Corp., Norman Shubert. Daniel Steinberg, Martin May, Jeffrey Lobel, William Rossi, Raymond Niesslein, Thomas Shuben. Sovereign Capital Group, Inc., Sovereign Capital Group of Nevada, Sovereign Investment Corporation and Sovereign Capita

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Sheen-Lynn Fleischer 95-03088 Name of Respondents) Michael Orlino Ronald Cropper REPRESENTATION The Claimant appeared pro se. For Respondent Ronald Cropper: Joseph R. Corozzo, Jr., of the law firm of Robinson and Corozzo, P.C., New York, NY. The Respondent Michael Orlino appeared pro se. CASE INFORMATION Stat

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-01001 William Brown and Jean Brown, claimants vs. Erik S. Blum and First Republic Group, LLC, respondents. ATTORNEYS: Claimants appeared pro se, Woodland Hills, CA. For Respondent, Erik S. Blum, appeared Cary David Kessler, Esq., of the firm Farley & Kessler, P.C., New York, NY. For Respondent, First Republic Group, LLC, appeared in-house counsel, John J. Vaughan, Esq., New Yor

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard F. Cooper, Jr. Case No. 95-03075 Name of Respondents rJanney Montgomery Scott Inc. Arthur Brent Taylor REPRESENTATION For Claimant Richard F. Cooper, Jr. ("Cooper"): Jonathon Katz, Esq. of Jacobs, Grudberg, Belt & Dow, P.C. of New Haven, CT. For Respondents Janney Montgomery Scott, Inc. ("JMS") and Arthur Brent Taylor ("Taylor"): Paul