M.A-S-P- AWARD MATTOMAT A^nTTATTnN OF SKTtTRmRS HFAT FRS INC. - In the matter of the Arbitration Between Tvjame nf Plaimant Clifford S. Evans v. NASD Arbitration No. 95-00279 Prudential Securities, Inc. and Steven R. Geraghty For Claimant : Clifford S. Evans, In Pro Per For Respondents: Joseph S. Scbuchert, Esq. Keesal, Young & Logan Long Beach, California Statement of Claim filed: January 19, 1995 Claimant's Submission Agreement sig

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Planners Independent Management, Inc. 95-00277 Name of Respondent James Edward Bennett CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 13, 1995, Claimant Planners Independent Management, Inc, ("Claimant"), who was represented by Mary R. Limoges, President, alleged that Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Werner Weingartner 95-00276 Name of Respondentfs) Fundamental Service Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 17, 1995 Claimant Werner Weingartner, who appeared Pro Se, alleged that Respondent Fundamental Service Corp. should be held liable for losses he has suf

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Helen Berger 95-00275 Name of Respondents Douglas L. Shearer Stanley Q. Mok CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 17, 1995, Claimant Helen Berger ("Claimant"), who appeared Pro Se, alleged that Respondents Douglas L. Shearer ("Shearer"), and Stanley Q. Mok ("Mok")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Albert H, Jacoby 95-00274 Name of Respondent A.S, Goldmen & Co. Stephen Kaplan CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Enc. on January 17, 1995, Claimant Albert H, Jacoby ("Claimant"), who appeared Pro Se, alleged that Respondents A.S. Goldmen & Co. (" A,S- Goldmen") and Stephen Ka

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Philip C. Mount and NASD Case Number 95-00270 Names of Responflents Traders & Dealers, Incorporated (#k/a The Trading Desk, Incorporated), Michael D. Cox, Short-Cox Company and Jerry Short Name of Third-Party Respondent Jerry Short REPRESENTATION OF PARTIES Claimant, Philip C. Mount was represented by Timothy M. M

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants George & Evelyn Jones 95-00268 Name of Respondents Smith Barney Shearson Donald & Company Anna York REPRESENTATION For Claimants George and Evelyn Jones ("claimant") appeared Richard D. Gaines, Esq. with law offices located in Ridge wood, New Jersey. For Respondent Smith Barney Shearson, Inc. ("Smith Barney") appeared Christopher O'Malley, Esq.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Sloan W. Kelly, (Claimant) vs. Shane Merritt and Prudential Securities Incorporated, (Respondents) Case Number: 00-03794 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Sloan W. Kelly, hereinafter referred to as "Claimant": Robert A. Shaines, Esq., Shaines & McEachern, Portsmouth, NH. Respondents, Prudential Securities, Inc. ("Prudential") and Shane

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Badidokht Bahadori Claimant, v. No. 95-0267 Wesley Hayne, Kevin Miller, Chris Farni, Hayne Miller & Farni, GDN Securities, Ltd., Kevin Miller Respondent. REPRESENTATION OF PARTIES Claimant Badidokht Bahadori was represented by Rebecca Bender, Esq. of Minneapolis, MN. Respondent GDN Securities, LTD. and Kevin Miller and Hayne, Miller & Farni, Inc. was represented by Robert D. M

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant A.G. Edwards & Sons, Inc. 95-00265 Name of Respondent Stephen A. Mazer CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 13, 1995, Claimant A.G. Edwards & Sons, Inc. ("Edwards"), through its in-house counsel Jeff S. Jamieson, Esq., St. Louis, Missouri, stated that on or about May