NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Names of Claimants William Morgan and Mary E. McCleery and Case Number 95-01539 Names of Respondents APS Financial Corporation, Samuel Ray Granett, Dana Jonathan Guillory and John Joseph Glade REPRESENTATION OF PARTIES William Morgan and Mary E. McCleery ("Claimants") were represented by Dick Gann, Esq. and Stephanie Theban, Esq. of Riggs, Ab

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thp Claimant Matilda F. Maassen fase NIITTIher- 00-04658 Name of the Respondents A.G. Edwards & Sons, Lie. Timothy F. Griffith Hearing .Site- Philadelphia, PA Nature of Dispute: Customer vs. Member and Associated Person RFPRFSF.NTATTON OF PARTTFS Claimant Matilda F. Maassen, hereinafter referred to as "Claimant", was represented by Margaret Man

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant. Woodrow & Mary Ann Pierce vs. NASD Arbitration No.95-01537 Name of Respondent Titan Value Equities Group, Inc. William A. Donaldson REPRESENTATION For Claimants: Woodrow Pierce, Coeur D'Alene, Idaho For Respondent Titan Value: Christopher B. Wells, Esq., Lane Powell Spears Lubersky, Seattle, Washington. For R

IW-24-1996 15 = 26 . 212 371 5099 N.A.S.D, AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Cummonwmlth AwocJatee v, 95-01536 Name of Respondent ifwi Emiaeote For Claimant; David S . Rfenan, Esq. , from the finn of Tenzer Greenblatt , UUP, Mew York, NY Respondent did not appear at the evidentiary hearing conducted in this matter. CASE Statement of Claim filed: March 28, 1995 Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of .Claimant(s) Randall Moore 95-01531 Name of Respondent^ M, Rimson & Co., Inc. Glenn Bennett CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 27, 1995, Claimant Randall Moore, through his counsel, John E. Lawlor t Esq., Garden City, NY, alleged that Respondent M. Rimson & Co., I

NASDR AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between PaineWebber, Incorporated Claimant, v. No. 95-01523 Terrance Roddy Respondent. REPRESENTATION OF PARTIES Claimant PaineWebber, Incorporated was represented by Thomas M. Mierswa, Esquire, of PaineWebber, Incorporated located in Weehawken, New Jersey. Respondent Terrance Roddy was represented by Thomas H. Boyd, Esquire, of Winthrop

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants NASD Arbitration Terrance Lee McCarty #95-01520 Margaret E. McCarty. vs. Name of Respondents Kidder, Peabody Sc Co., Inc. David Swanson Matthew Miller REPRESENTATION For Claimants: Thomas K, Coan, Esq., Portland, Oregon For Respondents: William H.. Phelps, Esq., Kidder, Peabody & Co., Los Angeles, California,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gary Glass 95-01518 Name of Respondents A.S. Goldmen & Co., Inc. Anthony DeLuca REPRESENTATION b> For Claimant Gary Glass appeared Robert Lewis, Esq., a sole practitioner located in New York, New York. For Respondents A.S. Goldmen & Co., Inc. ("A.S. Goldmen") and Anthony DeLuca ("DeLuca") appeared Phoebe A. Wilkinso

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Sav-A-Trip, Inc., Claimant, v. No. 95-01516 Stratton Oakmont, Inc., Jordan R. Belfort, Daniel M. Porush, Kenneth S. Greene, Christopher F. Castaldo, Matthew L. Bloom, and Andrew Greene, REPRESENTATION OF PARTIES Claimant Sav-A-Trip, Inc. ("Claimant") was represented by Mr. Barry D. Esteli, Esquire, of Mission, Kansas, and Mr.

FINAL ORDER NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between William E. Brookhauser> and Virginia Brookhauser, Claimants, v. No. 954)1509 R.G. Dickenson & Co. n/k/a Dickenson & Co., Respondent. REPRESENTATION OF PARTIES William E. Brookhauser, and Virginia Brookhauser ("Claimants") were represented by Bruce Pearson from Fargo, North Dakota. Respondent Dickenson & Co. ("Respondent") was repre