AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Gary Millner, Claimant, v. No. 95-04107 Pauli & Company, Respondent. REPRESENTATION OF PARTIES Claimant Gary Millner ("Claimant") was represented by Donald J. Meehan, Jr., Esq., of Moline & Shostak, St. Louis, Missouri. Respondent Pauli & Company ("Respondent") was represented by Daniel G. Vogel, Esq., of Johnson & Neuman, L.C., St. Louis, M

/" AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Kevin C. Walsh 95*4106 Name of Respondent Waterhouse Securities Inc. *• Va - iom!i Association of Sc-uriiicx Dealer::, inc. REPRESENTATION For Claimant: Kevin C. Walsh ("Walsh") appeared pro se. For Respondent: Waterhouse Securities Inc. ("Waterhouse") was represented by Robert F. X. :,Bphr :

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Andrew W. Walter 95-04103 Name of Respondent Internationale Nederlanden (U.S.) REPRESENTATION For claimant Andrew W. Walter ("claimant") appeared Jennifer Sulzberger, of the law firm Andrews & Kurth, L.L.P. located in New York City, New York. For respondent Internationale Nederlanden (U.S.) ("ING Capital Holdings") appeared Chr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Andrew Sirico (Claimant) v. The Concord Equity Group, Nicholas Mariniello, and Alan Govornik (Respondents) Case Number: 00-05324 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Andrew Sirico ("Sirico") hereinafter referred to as "Claimant": Eric J. Sussman, Esq., Garden City, NY.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ralph L. and Michaela V, Amato Case No. | v. 95-04102 Name of Respondent(s) Prudential Securities Inc Keith L. Polishook REPRESENTATION For Claimants Ralph L. Amato and Michaela V. Amato ("Claimants") appeared pro se. For Respondents Prudential Securities, Inc. (" Prudential") and Keith L. Polishook ("Polishook")(colle

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas Reichert 95-04100 Name of Respondent Thomas Arcuik REPRESENTATION For Claimant Thomas Reichert, ("Reichert"), appeared Richard B. Cohen, Esq. from Akabas & Cohen located in New York, New York. For Respondent Thomas Arcuik, ("Arcuik"), appeared Dan Brecher, Esq. from the Law Offices of Dan Brecher located in New York,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edward and Harriet Greenebaum 95-04099 Name of Respondents Bear Stearns & Company MFI Investments Corp. Henry I. Judy, Jr. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 25, 1995, Claimants Edward and Harriet Greenebaum, who appeared Pro Se, alleged that Respondents Bear S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Betsy Moody 95-04097 Name of Respondent Charles Schwab & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 25, 1995, Claimant Betsy Moody ("Claimant"), who appeared Pro Se, alleged that Respondent Charles Schwah^S: iCo^^Ine. cu ("Respondent"), wrongly placed a purchase o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John M. Harvanek, III 95-04096 Name of Respondents Daniel C. Montano Montano Securities Corporation Alexander G. Montano Ramesh D. Chillar CASE SUMMARY In a claim filed With the National Association of Securities Dealers, Inc. on August 25, 1995 Claimant: John M. Harvanek III ("Claimant"), who appeared Pro Se, alleged t

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Glenda J. Belz, Donald E. Helms, Robert L. Nelson, Pauline Esslinger and Waymer Esslinger, Vivian Johnson and Robert Johnson, and Doris B. Burton, Claimants, and No. 95-04093 Dickinson & Co., Respondent, REPRESENTATION OF PARTIES Claimants Glenda J. Belz, Donald E. Helms, Robert L. Nelson, Pauline Esslinger and Waymer Esslingerj Vivian Johns