N.A.S.D. REGULATION, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Robert A. Murphy; Robert A. Murphy, Trustee for Robert M. Murphy; and Robert A. Murphy, Trustee for Lauren Murphy. 96-00890 Name of Respondents Everen Securities, Inc., f/k/a Kemper Securities, Inc.; Sheldon H. Schumaker; and Richard Renner REPRESENTATION For Claimants: Robert A. Murphy; Ro

. 5.1999— 4 = N0.781 p.2/4 N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc, 96-00886 Name of Respondent William H. Edgar REPRESENTATION For Claimant: Thomas M. Mierswa, Jr., Esq., corporate counsel for PaineWebber Incorporated, ("PabeWebber"). Respondent William H. Edgar ("Edgar") appeared pro se. CASE Statement of Claim filed: Feb

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant John A. Wolfington 96-00885 Name of Respondents Wheat First Securities, Inc. Michael K. Casey REPRESENTATION Claimant John A. Wolfington ("Claimant") was represented by Matthew A. Taylor, Esq., Taylor and Taylor, Philadelphia, PA. Respondents Wheat, First Securities, Inc. ("Wheat") and Michael K.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas S. Babcock 96-00884 Name of Respondents Bear Stearns Securities Corp. Duncan Gillan CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 27, 1996, Claimant Thomas S. Babcock ("Claimant") alleged that Respondents Bear Stearns Securities Corp. ("Bear Stearns") and Duncan G

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Vincent Liotta • 96-00881 Names of Respondents Joseph Roberts & Co. Canton Industrial Corp Robert B. DiMarco, Jr. Joseph F. DeSanto Randy Scott Syrop REPRESENTATION Claimant Vincent Liotta ("Claimant") appeared pro se. Respondent Joseph Roberts & Company ("Joseph Roberts") did not appear at the hearing conducted in this matter. For Responden

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Susan M. Saks 96-00877 Name of Respondent Wheat First Securities, Inc. James F. Hargreaves REPRESENTATION Claimant Susan M. Saks ("Claimant") was represented by Jonathan G. Babyak, Esq., Bassi & Associates, Charleroi, PA. Respondents Wheat First Securities, Inc. ("Wheat First") and James F. Hargr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) NASD Arbitration No. 96-00676 Samuel S. Dayan, D.D.S., and Sharona Dayan, D.D.S. Name of Respondent(si Toluca Pacific Securities Corporation Harold S. Minsky REPRESENTATION For Claimants: Michael R. Simmonds, Esq., Wineberg, Simmonds & Narita r San Francisco, California For Respondents: Neville L. J

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Daniel H. Mosley 96-00874 Name of Respondents Dickinson & Co. Andrew J. Galy In a case filed with the National Association of Securities Dealers, Inc. on February 22, 1996, claimant Daniel Mosley, who appeared Pro Se, alleged that respondents Dickinson & Co. ("Dickinson") and Andrew J. Galy ("Galy"), deceived and mislead him ab

-NOV.30.1998' 11:03*, NflSD REGULATION PL NO.786 P.23 NASD REGULATION, INC. AWARD Office of Dispute Resolution 1 In the Matter of the Arbitration Between Narpes frf Claimants Chris and Uouisa H, Starkey Texas Capital Securities Inc. Michael Ator Case No, 96-00873 OF PARTIES For Claimants: Robert B. Cook, Esq., North Palm Beach, Florida. For Respondent Texas Capital Securities Inc. (TCS M ): Russell C. Burk, Esq., Englewoo

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Mount Vernon Mortgage Co., through and by its general partner Mount Vernon Sales & Mortgage Corp., Eugene Glick and Marilyn Glick, and EBG Insurance Agency, Corp., Claimants, and No. 96-00868 Bear, Stearns & Co., Inc. and Douglas Sharon, Respondents. REPRESENTATION OF PARTIES Claimants, Mount Vernon Mortgage Company, through and by its general p