N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frank Frampton 95-01958 Name of Respondents Charles A. Anderson Ronald Strack Randall J. McNiece Empire Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 21, 1995, Claimant, Frank Frampton, who appeared Pro Se, alleged that Respondents, Charles A. Anderson

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Carl K. and Lisa Mirrer 95-01955 Name cf Respondents A.S. Goldmen & Co., Inc. Christopher Panza CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 21, 1995, Claimants Carl K. and Lisa Mirrer ("Claimants"), who appeared Pro Se, alleged that Respondents A.S. Goldmen & Co., Inc. (

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph H. Reynebeau 95-01947 Name of Respondents Piper Jaffray, Inc, Gerard Johnson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 21, 1995, Claimant Joseph H. Reynebeau ("Claimant"), who appeared Pro Se, alleged that Respondents Piper Jaffray, Inc. ("PJI") and Gerard Johnso

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Herbert Rothberg 95-01946 Name of Respondents Prudential Securities, Inc. Barrett N. Sinowitz CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 19, 1995, Claimant Herbert Rothberg ("Claimant"), who appeared Pro Se, alleged that Respondents Prudential Securities, Inc. ("PSI"), a

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION AWARD NASD REGTJLATTON. TNC. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Names of Claimants Living Trust of John P. Klugh and Klugheit Inc. Name of Respondent(s) Dean Witter Reynolds, Inc. NASD Regulation, Inc. Office of Dispute Resolution Arbitration No. 95-01941 REPRESENTATION For Claimant: For Respondent: Kenneth L. Powell, Esq. Law Office of Kenn

N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Kenneth F. Kearsley; Barbara M. Kearsley; Kenneth F. Kearsley and Barbara M. Kearsley, Trustees for Kearsley Family Trust Dated 6/21/78; Mary K. Bruggman Trust by Barbara M. Kearsley, Trustee; William K. Kearsley; Mary Margaret Kearsley; and Barry Avenue Plating Profit Sharing Plan by Brice Kearsley, in, Plan Committee Member Name of Pesp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rickel & Associates, Inc. (Claimant) v. J.B. Oxford & Company, Inc., Stratton Oakmont, Inc., and Monroe Parker Securities, Inc. (Respondents) Case Number: 95-01927 Hearing Site: New York, New York Nature of the Dispute: Member vs. Members. REPRESENTATION OF PARTIES Claimant Rickel & Associates, Inc. ("Rickel") hereinafter referred to as "Claimant": Leonard Lesser, Esq., Schneck

95-01925 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Gladys R. Berger Name of Respondent(s) Merrill Lynch Pierce Fenner & Smith Inc Michael Hellman REPRESENTATION For Claimant Gladys R. Berger ("Claimant") appeared Gerald D. Fischer, Esq. from the law offices of Opton, Handler, Gottlieb, Feiler & Katz in New York, New York. For Respondents Merrill Lynch, Pierce, Fe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: W.R. Timmerman and Doris G. Timmennan, Claimants Case NumberQl -00959 Josephthal & Company, Inc.. Respondent Hearing Site: Houston. Texas REPRESENTATION OF PARTIES Claimants, W.R. Timmerman and Doris G. Timmerman, hereinafter collectively referred to, as "Claimants" were pro se. Respondent, Josephthal & Company, Inc., hereinafter referred to as "Respondent" were represented by Mike

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name^f Claimant Commonwealth Associates 95-01922 Name of Respondent Robert M. Greenberg CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 20, 1995, Claimant Commonwealth Associates ("Claimant"), through its representative and counsel, David S. Richan, Esq., of Tenzer Greenblatt LLP, located in New