NASU Rl-CiULATION. INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the 1 Arbitration Hctwoca Name of Claimant Klaus Dieter Paul 95-01X47 Name of Respondents Raymond. James & Associates. Inc. American Wealth Management REPRESENTATION For Claimant Klaus Dieter Paul ('Claimant") appeared F.dxvarU G. Williams, I : .SL|.. of the firm Windels Marx Davids & Ives. located in New York, New York. For Respondent Raymond. Ja

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Karl F. Provost 95-01843 Name of Respondent(s) Merrill Lynch Pierce Fenner & Smith Inc William Bruce Dredge REPRESENTATION Claimant, Karl J. Provost ("Claimant"), appeared Pro Se. For Respondents Merrill Lynch Pierce Fenner & Smith Inc. ("Merrill Lynch") and William Bruce Dredge ("Dredge"), collectively ("Respondents

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Cynthia J. Mines 95-01839 Name of Respondent Fidelity Brokerage Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 4, 1995, Claimant Cynthia J. Mines ("Claimant"), who appeared Pro Se, alleged that Respondent Fidelity Brokerage Services, Inc. ("Respondent"), failed to

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between • Name of Claimant Cherie Zaretsky-BattagHa Name of Respondents Dale Englehardt Community Securities, Inc. 95-01838 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on Aprii 18, 1995, Claimant Cherie Zaretsky-BattagHa, who appeared Pro Se, alleged that Respondents Community Securities, Inc. ("CSI

N.A.S P. AWARD NATIONAL ASSOCIATION OF SFriTftTTIES HEALERS INf! In the matter of the Arbitration Between «. Name nf Claimant Randy J. Shaw v. NASD Arbitration No. 95-01834 nf "Respondents Liberty Capital Markets, Inc., Robert Holmes and Doyle Holmes For Claimant: Robert F. Curotto, Esq. Curotto Law Offices Oakland, California For Respondents: David M. Grey, Esq. Turner, Cooper and Reynolds Irvine, California TTWOPMATTON

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Investacorp, Inc., Claimant, v. No. 95-01832 Quintas Earl Webb, and Barbara G. Webb, Robert Loeser, John Blanchette-Loeser LP, and Correspondent Services Corp., Respondents. REPRESENTATION OF PARTIES Claimant Investacorp, Inc. was represented by David M. Rappaport, Esq. of Investacorp, Inc. located in Miami, FL. Respondents Quintas Earl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Securities Research, Inc. 95-01830 Name of Respondents Advest, Inc. Howard B. Joseph Thaddeus S. Cook Marc D. Aiken REPRESENTATION For Claimant, Securities Research, Inc. ("SRI"): Layne Verebay, Esq. of Freedman & Verebay, P.A., North Miami Beach, Florida. For Respondent, Advest Inc. ("Advest"): Barry Kronemer, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William F. Glase 95-01829 Scott Weinfeld National Financial Services Corporation Philip J. Hitman REPRESENTATION Claimant William F. Glase ("Claimant") was represented by Louis J. Ruch, Esq., Ruch & Gontram, Philadelphia, PA. Respondent National Financial Services Corporation ("NFSC") was represented by Matthew Farley, Esq.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ludwig Cserhat, (Claimant) vs. Investors' Advocate, LLC, Steven Maczka, and Jason Watkins, (Respondents) Case Number: 00-05085 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Ludwig Cserhat, hereinafter referred to as "Claimant", appeared pro se. Respondent, Investors' Advocate, LLC ("IA"), Steven Maczka ("Maczka"), and Jason Watkins ("Watkins"), herei

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name t of Claimants Marilyn and William S. Stein & Stein Family Partnership 95-01828 of Resondents Washington Investment Corporation James Russel Johnson Richard Teal Barney Mark Burkhardt, and Robert Jack Rubel REPRESENTATION Morris J. Levin, Counsellor and Attorney at Law, Washington, D.C., represented Marily