FINAL ORDER NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Darryl Settles and Case Number: 95-00878 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc.; and Samuel Reddick REPRESENTATION OF PARTIES Claimant Darryl Settles ("Claimant") was represented by Terry Williams, Esq. of Detroit, Michigan. Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch")

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Kemper Securities, Inc. Claimant, 95-00874 John C. Padelford III, Patricia J. Padelford, Phoenix Pacific Properties, Ltd. Respondent, and John C. Pandelford III, Patricia J. Pandelford Counterclaimant, v. Kemper Securities, Inc. Counterrespondent, REPRESENTATION OF PARTIES Kemper Securities, Inc., ("Claimant") was

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Jn the Matter of the Arbitration Between Name of Claimants Dale F. and Catherine Barber 95-00871 Name of Respondents Paine Webber, Inc. Michael J. Marasco CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 21,1995, Claimants Dale F. and Catherine Barber ("Claimants"), through their representative, Christopher D. Barber, allege^ that

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Sharon Lockhart, Claimant, v. No. 95-00869 A. G. Edwards & Sons, Inc., and Steven B. Vecchio, Respondents. REPRESENTATIQMQF PARTIES Sharon Lockhart ("Claimant") was represented by Jean Lamfers, Esq., of Lamfers & Maneke, Kansas City, Missouri. A. G, Edwards & Sons, Inc.{"AGE") was represented by Phyllis A, Hartrich, Esq., A. G. Edwards &

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Henry Masakowski, Sr Claimant, v. No. 95-00866 Securities Planners, Inc., Robert Cannon, and Larry Rosen, Respondents REPRESENTATION OF PARTIES Claimant Henry Masakowski, Sr. ("Claimant") was represented by David H. Jarvis, Esq. of Singer & Zamanski located in New York, New York. Respondents Securities Planners, Inc., Robert Cannon ("Can

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James and Genevieve Sternweis 95-00854 Name of Respondent Wes B. Harrison CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 17, 1995, Claimants James and Genevieve Sternweis, who appeared Pro Se, alleged that Respondent became their broker in February of 1993, at which time

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert Bange 95-00852 Oppenheimer & Co., Inc. JohnS. Sturges CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 17, 1995, Claimant Robert Bange, who appeared Pro Se, alleged that Respondents Oppenheimer & Co., Inc. , ("Oppenheimer") and John Sturges ("Sturges"), mismanaged his ac

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Donald N. Fosco and Deborah Marinilli 95-00848 Name of Respondents Brighton Securities Corporation C. Walter Ries REPRESENTATION For Claimants Donald N. Fosco and Deborah Marinilli appeared Frank H. Lloyd, Jr., Esq. to the law firm of Henry W. Williams, Jr., Esq., located in Pittsford, New York. For R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John J. Grabner, Jr. Evelyn Grabner John J, Grabner, III Dorris E. Wolfe Peter Solobay 95-00846 Name of Respondents Rose Securities Corporation Rose Capital Markets Corporation Allan Bird Bill Goldsmith Jules Silver Mitchell Witt REPRESENTATION Claimants John J. Grabner, Jr., Evelyn Grabner, John J.

" . S N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s') Jack Y. Kahn Trust, Jack Y. Kahn, TTEE 95-00825 Name of Respondents) Diane K. Hufferd Emmett A. Larkin Company, Inc. U.S. Securities Clearing Corp. Beckman Investment Securities CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 16, 1995, Claimant Jack Y. Ka