Award NASD Dispute Resolution, Inc. -In the Matter of the Arbitration Between Name of Claimant Robert Miller Case No. 98-00685 Name of Respondents Wheat First Securities, Inc. Joseph ludica REPRESENTATION OF PARTIES Claimant, Robert Miller (Claimant), was represented by Joseph V. Restifo, Esq. of the law firm of Joseph V. Restifo, P.A., Philadelphia, PA. Respondents, Wheat First Securities, Inc. (Wheat First) and Joseph ludica (ludica) w

N.A S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTIES DEALERS In die Matter of the Arbitration Between Name of Claimants Sterling Computer Svcs. Profit Sh. Plan Roman J. Sterlin Marie H. Sterlin Roman J. & Marie H. Sterlin, JTWROS 95-01102 (consolidated with 95-01104, 95-02315 and 95-02335) Name of Respondents Joseph Principe Dean Kajorus Berkeley Securities Corp. REPRESENTATION For Claimants Sterling Computer Svcs. Profit Sh. Plan

N.A S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tJie Matter of the Arbitration Between Name of Claimants Sterling Computer Svcs. Profit Sh. Plan Roman J. Sterlin Marie H. Sterlin Roman J. & Marie H. Sterlin, JTWROS 95-01102 (consolidated with 95-01104, 95-02315 and 95-02335) Name of Respondents Joseph Principe Dean Kajorus Berkeley Securities Corp. REPRESENTATION For Claimants Sterling Computer Svcs. Profit Sh. Pla

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS INC In the Matter of the Arbi tration Between Kim Feddick, and Mesa Produce, I nc. / Pension Plan & Trust, Claimants. Mf0 © National Association of Securities Dealers,Inc. All RightsReserved Consolidated No.s 95-01677 95-01675 Norcross Securities Inc., and Stuart O. Bates, Respondents. REPRESENTATION OF PARTIES Kim Feddick ("Feddick"), Mesa Produce, Inc. ("MPI"), and Mes

/ 1 N.AS.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Nola M. Peterson Paul N. Breyer Name of Respondent(s) Merrill Lynch Pierce Fenner & Smith, Inc Robert L. Dayton Susan Sullivan CONSOLIDATED AWARD 95-05818 and 95-05821 ^ ^-anona} Assoriaiion of Sccuruies Dc\^Jcrs. inc. Ali Ri-hts Reservcc: CASE SUMMARY In a claim filed with the National Association o

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Michael Rudolph Glovas 95-05767 Name of Respondent PaineWebber, Inc. REPRESENTATION Claimant Michael Glovas ("Claimant") was represented by Kevin Conway, Esq. and Fred van Remortel, Esq. of the law firm Conway & Conway. Respondent Prudential Securities Incorporated ("Respondent") was represented by Loren Schecht

AWARD NATIONAL ASSOCIATION OF SECURITIES DEAIiERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimaht J.W. Charles Securities, Inc. Names of Respondents Robert D. Keyser, Jr. and John T. KeyserT^ John Hughes, Howard Feinmel, Paul Winkle, Chris Zafuoff, Al Poliak, Michael Winnick, Frank Vecchio 95-00814; 95-01118; 95-01217 ; 95-01264; 95-01295; 95-01533 ; 95-01534 ,-95-04973 RFPRFSFNTATTON * For Claimant J

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION ARBITRATION AWARD NASD REGULATION. INC. OFFICE OF DISPUTE RF.SOLUTION In the matter of the Arbitration Between Name of Claimam RafiM. Khan NASD Regulation. Inc. Office of Dispute Resolution Arbitration No.94-03333 Name of Respondents Irving Kon, WUIiam Stratton, Walter Senior and J.B. Oxford SL CO. RafiM. Khan V. Name otRespQndcBts J.B. Oxford & CO. and Reynolds Kendrick Stratt

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION ARBFTRATION AWARD NASD REGULATION. INC. OFFICE OF DISPUTE RESOLITTION In the matter of the Arbitration Between Name of Claimam RafiM. Khan NASD Regulation. Inc. Office of Dispute Resolution Arbitration No.94-03333 Name of Respondents Irving Kon, WUIiam Stratton. Walter Senior and J.B. Oxford & Co. RafiM. Khan V. Name otRespQndcBts J.B. Oxford & Co. and Reynolds Kendrick Stratto

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants J.C. Bradford & Co. and Kerry T. Cassell and 98-00683 Name of Respondent BB&T Investment Services, Inc. REPRESENTATION OF PARTIES J.C. Bradford & Co. And Kerry T. Cassell ( collectively "Claimants") were represented by James F. Wyatt, III, Esq., Charlotte, NC. BB&T-Investment Services, Inc. ("Respondent") was represented by Ben