ArtsrtratlOrt S N.A.S.D. AHARD Natk>nat Association of Securities Deaten. Inc. NanCKRL ASSOdATION OF SBCCRITIES DEALERS i'.^^.^E'^"^'^^SlLS"^^^ o3 Wnrtefiall SQlBei Newrork, N.Y.I0004 In the Matter of the Arbitraticn Between FAX (2T2)85S-*V389 Mane of Claiinants Iferrill Lynch, Pierce, Fenner & Smith, Inc., Prudential -Bache Securities, Inc. (n.Jc.a. Prudential Securities, Inc.) Solnnrai Brothers, Inc. and Pmi th Barney, Harris O^iham & Co., In

ArtsrtratlOrt S N.A.S.D. AHARD Natk>nat Association of Securities Deaten. Inc. NanCKRL ASSOdATION OF SBCCRITIES DEALERS i'.^^.^E'^"^'^^SlLS"^^^ o3 Wnrtefiall SQlBei Newrork, N.Y.I0004 In the Matter of the Arbitraticn Between FAX (2T2)85S-*V389 Mane of Claimants Iferrill Lynch, Pierce, Fenner & Smith, Inc., Prudential -Bache Securities, Inc. (n.Jc.a. Prudential Securities, Inc.) Solnnrai Brothers, Inc. and Pmi th Barney, Harris CI^)ham & Co., In

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant IMS Securities, Inc. and Case Number 98-00614 Name of Respondent Graciela Armendariz REPRESENTATION OF PARTIES IMS Securities, Inc. (hereafter referred to as "Claimant") was represented by R. Martin Weber, Esq. of Liddell, Sapp, Zivley, Hill & LaBoon located in Houston, Texas. Graciela Armendariz (hereafter referred to as "Respondent") was represented by Ma

ArtsrtratlOrt S N.A.S.D. AHARD Natk>nat Association of Securities Deaten. Inc. NancKRL AssodanoN OF SBCCRITIES DEALERS !^.^^,^E'^"^'^*21LS"^^^ o3 Wnrtefiall SQlBei Newrork, N.Y.I0004 In the Matter of the Arbitracica Between FAX (2T2)85S-*V389 Mame of Claimants Iferrill Lynch, Pierce, Fenner & Smith, Inc., Prudential -Bache Securities, Inc. (n.Jc.a. Prudential Securities, Inc.) Solnnrai Brothers, Inc. and Pmi th Barney, Harris CI^)ham & Co.,

ArtsrtratlOrt S N.A.S.D. AHARD Natk>nat Association of Securities Deaten. Inc. NancKRL AssodanoN OF SETZSOTIES DEALERS !^.^^,^E'^"^'^*21LS"^^^ o3 Wnrtefiall SQlBei Newrork, N.Y.I0004 In the Matt:er' of the Arbitiracica Bet^-jeen FAX (2T2)85S-*V389 Mane of Claiinaiit^ 2ferr±ll "Lynch., Piexce, Fenner & Smiti, Inc., Prudeatial-Baciie Securities, Inc. (n.Jc.a. Pnidential SecuritiLes, Inc.) Solnnrai Brothers, Inc. and Pmi th Barney, Harris CI^)h

NATIONAL ASSOCIATION CT SECURITIES DEALERS, INC. N THE MATTER OF THE ARBITRATION BETWEEN Perry Kotzker Stephen Kaufman : Case #88-00906 Claimants ,88-01454 (consoi idated) vs. AWARD Gladstone Securities, Inc. Mizabeth Bamberg and Barton Bereck Responden/5 CASE sjmm Claimants Perry Kotzker and Stephen B. Kaufman alleged that Respondent Elizabeth Bamberg, a partner of Respondent Gladstone Securities, Inc., purchased 500 shares of United

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NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04598 and 03-04621 Maryann B. Lamantia, Claimant v. Legg Mason Wood Walker, Inc. and Kevin Wesner, Respondents. John F. Lamantia, Claimant v. Legg Mason Wood Walker, Inc. and Kevin Wesner, Respondents. ATTORNEYS: For Claimants, Maryann B. Lamantia and John F. Lamantia, (collectively "Claimants") appeared Ronald E. Lyons, E^q., Rockville, MD. For Respondents, Legg Mason Wood Walker, Inc. an

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NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) DONALD GRENDAHL, MARK GRENDAHL, 1 THOMAS LEMORANDE, CON YAGODZINSKI, aVDE TRUDEAU, RAY FORMANEK, VIRGINIA RIUTTA, RUSSELL AND FLORENCE GRENDAHL, BETTY HANSON, PHILLIP AND DEBRA GRENDAHL SANDI GOETZE, KEITH OLSON Claimants and CONSaiDATED CASE NOS. 90-00495, 90r0fi&72. 90-00673, 90-00674, JJOZHH!] 88-02472, 88-02473, 88-02469, 88-02475, 8