N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Kenneth R. Keller 95-00356 Name of Respondents) Steven A. Souhrada Scott L. Mathis CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 23, 1995, Claimant Kenneth R. Keller, who appeared Pro Se, alleged that Respondents Steven A. Souhrada and Scott L. Mathis of Gruntal & Co. re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William Baig Trust, William Baig TTEE 95-00354 Name of Respondents Wheat First Securities, Inc. (a.k.a. Wheat First Butcher Singer) Sharon Kells CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 23, 1995. Claimant, William Baig Trust, William Baig TTEE, who appeared Pro S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Donald M. and Linda G. Kasprzyk 95-00353 Name of Respondents Prudential Securities, Inc. Theodore J. Van Der Horn CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 23, 1995, Claimants Donald M. and Linda G. Kasprzyk ("Claimants"), who appeared Pro Se, alleged that they spoke

1 . N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cl^manf Harold D. Harm 95-00352 Name of U.S. Securities Clearing Corp n/k/a Beckman a Division of Emmett A. Larkin Company, Inc. Merle B. Gross Emmett A. Larkin Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 20,1995, Claimant Harold D. Harm ("Claimant"

NASD Arbitration No. 95-00349 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES PETERS. INC. In the matter of the Arbitration Between Name of Claimant(s) John M. Veltri Name of Respondentfs) Eric Rand Commonwealth Associates Gruntal & Co., Incorporated REPRESENTATION For Claimant: Cedric Choi, Esq., Honolulu, Hawaii For Respondent Eric Rand: David Crystal II, Esq., Gilbride, Tusa, Last & Spellane LLC, New York, New York For R

NAS.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between © National Association of Name of Claimant Securities Dealers, Inc. J.W. Charles Securities, Inc. All Rights Reserved CASE NO. 95-00344 Name of Respondent First Southwest Company REPRESENTATION For Claimant, J.W. Chaiies Securities, Inc. ("Charles"): Kiefli Olin, Esg., of Morgan, Lewis & Bockius of Miami, Florida. For Respondent, First Southw

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marvin E. Lowenhardt 95-00340 Name of Respondent Fidelity Investments REPRESENTATION For Claimant, Marvin Lowenhardt ("Lowenhardt") pro se. For Respondent, Fidelity Investments ("Fidelity") David I. Gellen, Esq. of Kutak Rock, Atlanta Ga. - CASE INFORMATION ' v~ w *- Statement of Claim filed January 23, 1995

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Frank Aldrich Gail Aldrich vs. NASD Arbitration No. 95-00339 Name of Respondent A.G. Edwards & Sons, Inc. Frank Amelio Thomas Green REPRESENTATION For Claimants: Paul J. Delmore, Esq., Edwards, White & Sooy, San Diego, California For Respondents A.G. Edwards and Thomas Green: Jeff Jamieson, Esq., A.G. Edwa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William B. and Verna Mischke 95-00337 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Al Crake REPRESENTATION Claimants William and Verna Mischke ("Claimants") were represented by David Herrmann, Esq. , Law Offices of Randal J. McDowell, Jenkintown, PA Respondents Merrill Lynch, Pierce, Fenner & Smith, In

-'—OCT. REGULPTION FL NO.416 P. 5/7 NASD CASE NO. 95-00336 N.A.S.D. AWABD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Banco Progreso Internacional De Puerto Rico Name of Respondents Prudential Secvuiiles Incorporated and Michael P. Schnabel REPRESENTATION For Claimant; Richard E, Brodsky* Esq. of Richard E. Brodsky, P.A., Miami, Florida and Scott L. Warftaan