^.- N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jaime A. Ramirez Name of Respondent GNA Securities, Inc. Reece Padavan 9505299 National Associatjon of Securities Dealers, Inc. All Ri-hts Reserved to REPRESENTATION Claimant Jaime A. Ramirez ("Claimant") appeared Pro Se. For Respondent GNA Securities, Inc. ("GNA") appeared Edward Wiles, Jr., Esq., in-house

PUBLIC N A,S.D. .XWARD VAllONAL .VSSOCLVrlON oi- SECLTtlTlES DEALERS In file Matter or the .Arbitration Between Maine of Claimanris) .\Iemil Lvnch Pierce Fenner Smith Inc ^'1-03176 Name o[ Resp(>ndenr! s i . Jcnins 'A' Ricttarus CASE SUMMARY In a ^lann riled with the National .Association of Secunties Dealers. Inc. on October [(). I^J^I Claimant Memll Lynch. Pierce. Fenner Jii: Smith. Inc. by and through their counsel Kaihy D. Pairick. E.s

NASI) KIXiri.A ITON AWARD In ihc Mailer o! ihc Arbilralion BLMUCLMI Michael G. Kcnncd>. \M), Michael Kennedy. M.L).. IV I'rtilit Sharnii: Plan & rrust Name Respnndcnt_s lanseo' Privaie I .edjier Stanle\ B, Starr. Jr. Clemenl V. Drurv RKPRI:SKNTA:IJI)\ I-ur elaimanls Michael G, Kenned> . M.D. I"Kenned} " i and Michael Kenned\. M.O., PC I^rol'ii Sharing Plan I rvi-^i uhe "Tru^-i" ) (colleeiivel\ "elainianis") appeared Michael A. Cnllora.

NASD REGULATION @30Q1 Award NASD Dispute Resolution In the Matter of the Arbitration Between: -UBS PaineWebbet, Inc. n/k/aUBS Financial Services, Inc. (Claimant) v. Melvin A. Hoover and Rose Edington (Respondents) v. David Palmer (Third-Party Respondent) Case Number. 02-04554 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Customers. REPRESENTATION OF PARTIES Claimant UBS PaineWebber, Inc. n/k/a UBS Financial Services, Inc. ("U

PUBLIC N.A.S.D. AWARD O NATIONAL .ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between JW Charles Securities. Inc. Claimant CASE #91-03110 AWARD vs. Daniel Dailey Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on October 14. I'^^l. Claimant JW Charles Securities. Inc. through its in-house counsel Charles E. Scarlett. Esq.. alleged that Respondent Daniel Dai

N A S D. AWARD NATIONAL ASSOCIATION OF SECUFUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Fidelity National Capital Investors, Inc © National Associaaon of Securities Dealers. Inc. All Rights Reserved 95-05335 Name of Respondent John W. Gregory CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 13, 1995, Claimant Fidelity National Capital Investors, Inc., throug

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George A. Bisson Award No. vs. 95-05384 © National A< itor!ifi/^f* Name of Respondents Securities IK, Fahnestock & Co., Inc. Owen H. Lasker AH Rights Reserved REPRESENTATION For Claimant, George Bisson ("Bisson"), appeared Susan L. Donegan, Esq. from the Law Office of Susan Donegan located in Boston, Massachusetts.

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Capital West Securities, Incorporated and Case Number 95-05449 Names of Resnondents A.G. Edwards & Sons, Incorporated, James L. Avant and Tom Avant REPRESENTATION OF PARTIES Claimant Capital West Securities, Inc. was represented by Thomas G. Wolfe, Esq. of Phillips, McFall, McCafFery, McVey & Murrah, P.C. located in O

Arbitration & Mediation l% l^;^yD^ National Association of Securities Dealers. Inc. * NASD Financial Center * 33 Whitehall Street * New York, NY 10004 * Fax 212-858-4429 Washington DC Satellite office at: 1735 K Street, NW - lOlh Floor * Washington, DC 20006 * Fax 202-728-6952 N.A.S.D. AWARD |0 UOHFIDOSSV i^uoHBiq @ NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant: Jeffrey N. Cordot 95-05461 Name

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant The Dolphin Trust 95-05462 Name of Respondents Gruntal & Co., Inc. Maurice A. Gross, Jr. REPRESENTATION For claimant The Dolphin Trust ("claimant") jq)peared Marc D. Powers, Esq., of the law offices Parker Duryee Rosoff & Haft, P.C. located in New York, New York. For respondents Gruntal & Co., Inc. ("Gruntal") and Maurice A. Gross, Jr. ("Gross") (collectively "