N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William Smith 95-00385 Name of Respondent Cantor Fitzgerald Securities REPRESENTATION For claimant William Smith ("claimant") appeared Brian F. Amery, Esq. of the law firm of Dressier, Amery & Ross located in Monistown, New Jersey. For respondent Cantor Fitzgerald Securities appeared Alan Kaminsky, Esq. of the law firm of W

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Allan R. Tessler 95-00384 Name of Respondent Gruntal & Co. Inc., REPRESENTATION For Claimant Allan R. Tessler ("Claimant") appeared Ronald D. Lefton, Esq. of the law offices of Camhy, Karlinsky & Stein located in New York, New York. For Respondent Gruntal & Co., Inc.("Respondent") appeared Evan J. Charkes, Esq., in-house counsel for Gruntal & Co., Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Tucker Anthony Incorporated 95-00381 Name of Respondent Terrence M Mailer REPRESENTATION For Claimant appeared Patrick J. Howley, Esq., in-house counsel for Claimant. The Respondent appeared Pro Se. CASE INFORMATION The Statement of Claim was filed on January 25, 1995. Claimant's Submission Agreement was signed on Febru

M.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS W, Scott Peterson. Claimant, v. No. 95-00380 Norwest Investment Services, Inc., Respondent REPRESENTATION OF PARTIES Claimant W. Scon Peterson ("Claimant") was represented by Christopher D. Schneider, Esq., of Morrison & Hecker, Kansas City, Missouri. Respondent Norwest Investment Services. Inc. ("Norwest") was represented by Robin M. Maher. Esq., of Norwest Investment Services, Inc..

fiPR.28.1998 3:06PM NftSD REGULflTION FL - NO.915 -Prtl/14 NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Gary Webster Case No. 95-00377 Names of Respondents Qppenheimer & Co., Inc. Michael Ferris REPRESENTATION OF PARTIES For Claimant: Stephen C. Sadin, Esq., Chicago, IL For Respondents Oppenheimer & Co., Inc. {"Oppenheimer") and Michael Ferris ("Ferris"); Richard Kelly, Esq. of Oppenhe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ernest Gottdiener 95-Q0368 Name of Respondent Prudential Securities Inc. REPRESENTATION For claimant Ernest Gottdiener ("claimant") appeared Lawrence J. Toscano, Esq. of the law firm of Heller, Horowitz & Feit, P.C. located in New York, New York. For respondent Prudential securities, Inc. ("respondent") appeared Theodore A. Kre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants C.J. and Nora B. Wangerin 95-00360 Name of Respondents D.H. Blair & Company Richard C. Smith CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 23, 1995, Claimants C.J. and Nora B. Wangerin ("Claimants"), who appeared Pro Se, alleged that Respondents D.H. Blair & Company ("DH

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Qidi and Ziaoming Chen 95-00359 Name of Reppondeifl(s) National Discount Brokers CAgE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 23, 1995, Claimants Qidi Chen and Xiaoming Chen, who appeared Pro Se, alleged that on October 25, 1994, Respondent, National Discount Brokers, executed an opt

N.A.S.D. MODIFIED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS (n the Matter of the Arbitration Between Name of Claimant Juanita W. Childs 95-00357 N.ime of Respondent PaineWebber, Inc. CASE SUMMARY In her 36 page claim filed with the National Association of Securities Dealers, Inc. on January 23, 1995, Pro Se Claimant Juanita W. Childs ("Claimant"), alleged that she filed a complaint against PaineWebber, Inc. ("PWI"), with the U.S. Fede

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael Priest, Claimant Vs. Investors Brokerage of Texas, Inc. Respondents. Case Number: 00-03804 Hearing Site: Dallas, Texas Claimant, Michael Priest, ("Priest") was represented by R. Spencer Shytles, Esquire of the Firm Graham, Bright and Smith, P.C. located in Dallas Texas. Respondent, Investors Brokerage of Texas, Inc. ("Investors Brokerage") was represent