N.A.S.D AWARD NATIONAL ASSOCIATION OF SECt"RITIES DEALERS In the Matter ot" the Arbitration Between Name of Claimant James F. Munsell, Executor/Elizabeth M James F. Munsell, TTEE/Elizabeth M. Shep 93-04489 Name of Respondents Gibraltar Securities Co, Kevin Mercer REPRESENTATION For Claimant James F. MunsellC'MunseU"), Executor of The Estate of Elizabeth M. Shepley and Tmstee of The Elizabeth M. Shepley Revocable Trust appeared Steven M. He

'f\ 'Ar N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAIEF5S In the Matter of the Arbitration Between Hambro Resource Development, Inc., Claimant, vs C&se Number 94-04433 Meridian Associates, Inc., Respondent and Third-party Claimant, vs Steven En gel, Thirdparty Respondent. REPRESENTATION For Claimant, Hambro Resource Development, Inc. C'Claimant"), Richard J.J. Scarola, Esq. from the law firm of Scarola & Reavis loc

FEB. 7.1999 ?:25PM NO.955 P.6 •* - AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Southwick Investments, Inc. 98-00507 Name of Respondent Mark G. Williams REPRESENTATION For Claimant Southwick Investments, Inc. ("Southwick"): Wayne A. Krause, Esq. of the law firm of Krause & Hirons, Marietta, Georgia, For Respondent Mark G. Williams ("Williams"): Larry H. Chesin, Bijq. of the law firm of Kir

N.A.S.D. AWARD PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Martin A. Greenberg 93-04253 A.R. Baron & Co., Inc. Jeffrey Weissman Roman Okin REPRESENTATION For Claimant Martin A. Greenberg: Gerald B. Kline, Esq., Atlanta, GA. For Respondents A.R. Baron and Co. Inc., Jeffrey Weissman and Roman Okin: Norris D. Wolff, Esq., of the law firm of Kleinberg, Kaplan, Wolff and Cohen,

r N.A.S.D. AWARD c NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Harriet Solomon 94-04430 Name of Respond- Gruntal & Company Inc. Daniel Axinn €J Nationai Association of Securities Dealers, Inc. All Rights Reserved REPRESENTATION For claimant Harriet Solomon ("claimant") appeared Sam Schwartz, Esq., of the law firm Bizar & Martm, LLP located m New York, New York. For

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Gary L. Guseman 93-04214 Name of Resr)ondent(s) James W. Builard, Jr. J.W. Bullard & Co.. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 13, 1993, Claimant Gary L. Guseman, who appeared Pro Se, alleged that Respondents James W. Bullard, Jr. ("Bullard") and J.W. Bulla

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dr. Harry J, Hei sel 93-04187 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ©NationalAssociaunn Securities Dealer:;, ijic. All Rights Resm cL CASESUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 12, 1993, Claimant Dr. Harry J. Helsel ("Claimant"), through his representaive and co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITI ES DEALERS In the Matter of the Arbitration Between Name of Claimants Albert and Antoinette Julian 94-04181 Name of Respondent Van Sant & IVIewshaw Securities Inc. CASE SUMMARY In a daim filed with the National Association of Securities Dealers, Inc. cn October 10,1994, Claimants Albert and Antoinette Julian, who appeared Pro Se, alleged that Respondent Van Sant & Mewshaw Securities, Inc. did not

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 93-04158 Name of Respondents Lewis R. Hawkins, Jr. Name of Third Partv Respondent Haven Schuck REPRESENTATION For Claimant PaineWebber, Inc. (referred to as "Claimant" or "PaineWebber"): Nicholas P. Kapur, Litigation Counsel at PaineWebber, Inc., Weehawken, NJ For Respondent Lewis R. Hawkins, Jr. ("Hawki

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Benshan Hao 94-04060 Name of Respondents Ying Cui Universal Financial Group CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 3, 1994, Claimant, Mr. Benshan Hao ("Claimant"), who appeared Pro Se, alleged that on or about April, 1994, Respondents Ms. Ying Cui ("Cui"), the Pr