Arbitration & Mediation Nntional Association , it Securities Dealtfrs.lne. * NASD Financial Center * 33 Whileltall Street * New V*>rk,NY 10004* F«x Washington DC Satellite office at; 1735 K Street. NW * Washing mi. DC 2000ft * Fax 202-728-6952 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Fidelity National Capital Investors, Inc 96-02835 Name of Respondent Michael L. Edwards

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Allen Goodman, IRA 96-02834 Name of Respondents A.G. Edwards & Sons, Inc. Joseph Carbia CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 2, 1996, Claimant Allen Goodman, personal representative of the Allen Goodman Individual Retirement Account ("IRA"), who appeared Pro Se, all

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frank H Black dba Robert Thomas Sec. 96-02833 Name of Respondent Daniel L. Glazier CASE SUMMARY In a case filed with the National Association of Securities DeaJers Regulation, Inc. on July 1, claimant Frank H. Black d/b/a Robert Thomas Securities ("Frank Black") through their representative Frank H. Black alleged that Daniel L,

N.A.S.D. AWARD ' NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paul J. Pfeilsticker 96-02826 Name of Respondent Christopher S. Channer CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on June 28, 1996, claimant Paul J. Pfeilsticker ("Pfeilsticker"), who appeared pro se, alleged that Chris Channer ("Channer") a broker with The Chicago Corpo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Ronald Biscaro, Michael Boyd, James DeFrancisco, Raymond Laney, Eugene Rexwinkle, Steven Doyle, Richard Zagardo, Kenneth Ingram, Michael Boyd, Bruce Hink, Ronald LaFrance, Robert OKeefe, Alan Sacks, Thomas Zajac, Nicholas Cortazzo, Rodney L. Edmonds, David Hoffman, Ralph E. Kendrick, Jr, Stephen and Linda Knopp, Alton R. Killon, Martin A. Lieberman, Ken

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rita Aken as Trustee, of the Fruscalzo-Aken Family Trust 96-02825 Name of Respondents LaCroix Alexander Financial Corporation GPS Consulting Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on July 1, 1996, claimant Rita Aken, as Trustee of the Fruscalzo-Aken Fam

N.A.S.D.J?5 r ULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Dean Witter Reynolds Inc. NASD Case No. 96-02818 Name of Respondent Mark A, Roberts REPRESENTATION For Claimant Dean Witter Reynolds, Inc. ("claimant") appeared James A. Vollins, Esq. of Nilmer & Bernes, Cleveland, Ohio. For Respondent Mark A. Roberts appeared Joseph J. Dehner, Esq., of counsel Frost & Jacobs, Ci

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In-the Matter of the Arbitration Between Name of Claimant Nancy B. Sherertz 96-02817 Name of Respondent Harvey F. Neustadt Investment Management & Research, Inc. Raymond James & Associates, Inc. REPRESENTATION Claimant Nancy B. Sheretz ("Claimant") was represented by Gregory M. Miller, Esq., Shapiro and Olander, Baltimore, MD. Respondent Investment

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Bill Mauro and Judith Ann Mauro JTWROS 96-02811 Names of Respondents Nationwide Securities Corp. Michael Pardini David Lavender Lou Rigatoni Lou Pasciuto REPRESENTATION The Claimants Bill and Judith Ann Mauro ("the Mauros") appeared pro se. For Respondent Nationwide Securities Corp. ("Nationwide"): Jonatha

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Deibert R. Woodin, and Hazel L. Woodin, Claimants, vs. No. 96-02809 Prudential Securities, Inc.. Michael K. Self, and Robert Bryan, Respondents. REPRESENTATION OF PARTIES Deibert R. Woodin and Hazel L. Woodin ("Claimants") were represented by Michael Salcido; Esq., Phoenix, Arizona. p ^": Prudential Securities, Inc. ("PSI"),