N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of m Claimant Nicholas Mirabile : No. 95-01502 Name of Respondents Bear Stearns & Company Douglas L. Berger REPRESENTATION The Claimant, Nicholas Mirabile ("Mirabile") , was represented by Charles Hamilton of Law Offices of H. Dawson French located in Dallas, Texas. The Respondents, Bear Sterns & Co. (Bear Sterns") and Doug

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between b Name of Claimants Robert Alvin Davis and Polly Allen Davis 95-01498 Name of Respondent First Union Brokerage Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 24, 1995, Claimants Robert A. Davis and Polly A. Davis ("Claimants"), who appeared Pro Se, alleged that Respondent First

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Charles Schwab & Company, hie. Case No. 00-04656 Name Thomas NT.rRichfield d/b/a SPI Investments aka Star Personnel, Inc. Hearing Site; A Washington D.C. Arbitration Panel decided on the papers py.PRF.SF.TVT A Tfn]\T OF PARTIF.S Claimant, Charles Schwab & Company, Inc., hereinafter referred to as "Claimant": Richard A. Karoly, Esq., Charles Schwab & Company, Inc., S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ernest B. Miller and Naomi S. Miller 95-01497 Name of Respondent NationsSecurities CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 24, 1995, Claimants Ernest B. Miller and Naomi S. Miller, who appeared Pro Se, alleged that Respondent NationsSecurities, failed to keep them inform

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Clover G. Moffat, Trustee for the Benefit of the Moffat Family Trust, Dated 1/10/86 Name of Respondents Prudential Securities, Inc., M.L. Stern & Co., Inc., and Bradley Glasman NASD Arbitration No. 95-01495 REPRESENTATION For Claimant: For Respondent Prudential Securities, Inc. For Respondent M.L. Stern & Co., Inc

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Names of Claimants William J. Ragusin and Rita F. Guilders and Case Number 95-01492 Names of Respondents PaineWebber, Incorporated, Christopher Zangari and Alan Spierer REPRESENTATION OF PARTIES William J. Ragusin and Rita F. Childers ("Claimants") were represented by Charles A. Lucido, Esq. of Dallas, Texas. PaineWebber, Inc., Ch

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitratibn Between Name of Claimant Francis Yarbrough 95-01491 Names of Respondents Prudential Securities, Inc. and Michael S. McLean REPRESENTATION For Claimant: William S. Shepherd, Esq. of William S. Shepherd & Associates located in Houston, TX. For Respondents: Donald R. Littlefield, Esq. of Prudential Securities, Inc. located in Dallas, TX.

In the Matter of the Arbitration Between Name of Claimant LaVon F. Bond and 95-01488 Names of Respondents Prudential Securities, Inc., Larry E. Kerr and Carl Busch REPRESENTATION OF PARTIES LaVon F. Bond ("Claimant") was represented by Randall K. Calvert, Esq., Sole Practitioner, located in Oklahoma City, OK. Prudential Securities, Inc., Larry E. Kerr and Carl Busch ("Respondent") was represented by Donald R. Littlefield, Esq. of Prudential Secu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ American Classics Inc. and Pamela J. Prive 95-01486 Name of Respondents) Hanover Sterling & Co. Lowell Schatzer Mark Antonucci Mark Mancino David Sayid For Claimants American Classics, Inc. (" ACI") and Pamela J. Prive ("Prive"): Neal Baritz, Esq. of Dreier & Baritz, Boca Raton, FL. For Respondent Mark Mancino ("Ma

NASD REGULATION, INC. FINAL ORDER In the Matter of the Arbitration Between Name of Claimant Mary Terese Campbell 95-01484 Name of Respondents Cantor Fitzgerald & Co,, Inc. Howard William Lutnick Harry Needleman REPRESENTATION For Claimant Mary Terese Campbell ("Claimant") appeared P.J. Murphy, Esq. of the firm Murphy & O'Connell, located in New York, New York. For Respondents Cantor Fitzgerald & Co. ("Cantor"), Howard William Lutnick ("L