\\YARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Sonya Murray Name of Respondents Bank of America, NT&SA. Bankamerica. BA Investment Services, and Larrv R. Stinson NASD Regulation, Inc. Arbitration No. 96-00587 REPRESENTATION For Claimant: Robert M. Keese. Esq. and David N. Bigelow, Esq. Girardi and Keese Los Aneeles, California For Respondents:

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dan and Florence Kurzrnan 96-00586 N_ame of Respondents Smith Barney Inc. Albert Del Maestro CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 9, 1996, Claimants Dan and Florence Kurzman ("Claimants"), who appeared Pro Se, alleged that Respondents Smith Barney Inc. ("Smith Barney"} and Albert De

STTPTTT.ATFT) AWARD NATIONAL ASSOCIATION OF SECURITIES DEMURS REGULATION, INC. Hi the Matter of the Arbitration Between Name of Claimant Aimee Waters Name of Respondents Noble Investment Company of Palm Beach David Blech D. Blech & Co, Inc. 96-00582 FL ARBITRATION REPRESENTATION For Claimant: Robert H. Rex, Esq. of Dickenson, Murdock, Rex and Sloan, Boca Raton, Florida. For Respondent Noble Investment Company of Palm Beach ("Nobl

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Adora Z. Belo, Claimant v. TD Waterhouse Investor Services, Inc., Respondent Case Number: 00-05394 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Thomas G. Best, Esq. Law Offices of Thomas G. Best San Francisco, California For Respondent: Cara L. Finan, Esq. Julie A. Kole, Esq. Keesal, Young & Logan San Francisco, California

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Prudential Securities, Inc., Claimant, v. Case Number 96-00581 Paul G. Bowden, Respondent, REPRESENTATION OF PARTIES Claimant Prudential Securities, Inc. ("PSI") was represented by Michael A. Kraft, Esq. and Linda A. Gallagher, Esq. of Gomberg Kane & Fischer, Ltd. located in Chicago, Illinois. Respondent Paul G. Bowden ("Bowden") appeared pro se

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between James P. Evans and Joan D. Evans Claimants, and No. 96-00580 Merrill, Lynch, Pierce, Fenner & Smith, Inc., Nicholas Thomas Stafford and Vernon Eddie Alexander Respondents. REPRESENTATION OF PARTIES Claimants, James P. Evans and Joan D. Evans, were represented by Steven E. Clark, Esquire of de la Garza & Clark, located in Dallas, Texas. * Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Frank and Kathleen flilenfeld 96-00578 Names of Respondents J.W. Charles Securities, Inc. Guy Drake REPRESENTATION For Claimants Frank and Kathleen Ihlenfeld ("Mr. and Mrs. Ihlenfeld"): Russell Silverglate, Esq. of Dickenson Murdock Rex and Sloan, Boca Raton, Florida. For Respondents J.W. Charles Securiti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Aaron Rosenberg 96-00573 Name of Respondents Toluca Pacific Securities Corp. James B. Hancock, Jr. Moe Silver Mike Procak Trish Sandberg Paul Fiorini CASE SUMMARY In a claim filed with the National Association of Securities Dealer, Inc. on February 7, 1996, Claimant Aaron Rosenberg ("Claimant"), who appeared Pro

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Allied Resources, Inc. 96-00572 Name of Respondents Prudential Securities Inc Investors Associates Inc. REPRESENTATION For Claimant, Allied Resources, Inc. ("ARI"), appeared James A. Prestiano, a sole practitioner located in New York, New York. For Respondent, Prudential Securities, Inc. ("PSI"), appeared William H. Freilich, Esq., in-house counsel located in

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Fred J. Leunis 96-00571 Name of Respondents Equities Trading Corp. Kathleen Cuomo Janice Chan REPRESENTATION For claimant Fred J. Leunis ("claimant") appeared, Barry J. Byrnes, Esq. with law offices in Long Island City, New York. For respondent Equities Trading Corp. ("Equities Trading 1 *), Kathleen Cuomo ("Cuomo") and Janice Chan ("Chan") (colle