AWARD NASD Regulafion, Inc. Office of Dispute Resolution In the Matter ofthe Arbitration Between Michele Bmch, Claimant, V. No. 95-06055 Stifel, Nicolaus & Co., Inc., Respondent. REPRESENTATION OF PARTIES Claimant Michele Bmch was represented by Susan R. Schrag, Esq. of Morris, Laing, Evans, Brock, et al. located in Wichita, KS. Respondent Stifel, Nicolaus & Co., Inc. was represented by Reggie C. GifEin, Esq. of Morrison & Hecker L.L.P. lo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between: Name of Claimants Barbara A. Monteith Name of Respondents Titan Value Equities Group, Inc. and Jerry L. Morgan NASD Arbitration No. 95-06020 For Claimants: For Respondents: Statement of Claim filed: REPRESENTATTON Timothy A. Carming, Esq. The Sapfro Law Firm San Francisco, Califomia Steven K. McGirmis, Esq. Kari S.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Daniel and Lillian Bernstein 95-06014 Name of Respondents Whale Securities Co., Inc. Neal Impellizeri CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 27, 1995, Claimants Daniel and Lillian Bernstein ("Claimants"), who appeared Pro Se, alleged that they held account #25-5097

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between William McHale, Claimant, V. No. 95-05907 Helix Securities, Inc. and Robert J. Lorsbach Respondents. REPRESENTATION OF PARTTES Claimant William McHale was represented by James K. Langdon, II, Esquire, of Dorsey & Whitney, P.L.P. located in MinneapoUs, Minnesota. Claimant William McHale's Statement of Claim was filed on or about December 18, 199

N.A.S.D. REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name ofCIaimant Northwest Radiologists Inc., P S. Employees Qualified Pension Trust 95-05909 Name of Respondents National Securities Corporation W. Steven Anderson REPRESENTATION OF PARTIES For Claimant: Donald R. Morrison, Esq., Lasher, Holzapfel, Sperry & Ebberson, Seattle, Washington. For National Securities: Mark Ro

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter ofthe Arbitration Between Name of Claimant Lawrence H. Ryan 95-05928 Name of Respondents Beacon Securities, Inc. Adam Reback CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 12, 1995, Lawrence H. Ryan ("Claimant"), who appeared Pro Se, alleged that Respondents Beacon Securities, Inc. ("Beacon") and Adam Reback ("Reback

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between N^e of Claimants James S. Welty, Jr. TTEE/James S.Welty, James S. Welty, Jr. TTEE/Wendy Speigner Estate Of Helen M. Welty 95-05934 Name of Respondents Raymond James & Associates, Inc. Planning Corporation of America Richard Whitfield Brown REPRESENTATION For Claimants The Estate of Helen M. WeUy, The James S. Welty Jr. Family Trust and Th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ken Sitomer NASD Case No. 95-05935 Name of Respondents Shamrock Partners, Ltd. Rafi M. Khan REPRESENTATION For Claimant Kenneth Sitomer ("Sitomer") appeared Mark Drier, Esq. New York, New York. For Respondent Shamrock Partners, Ltd. ("Shamrock") appeared Harley W. Shaver, Esq., Shaver & Licht, Denver, Colorado. Respon

NASD Arbitration No. 95-05946 N.A.S.D. AWARD NATIONAT. A.q.qnCIATION OF SECTTRITIES DEALERS. INC In the matter of the Arbitration Between Namp nf Claimant(si Charmayne M. Pettengell Name nf Resr^ondent f s) Financial Network Investment Corporation Julian Lucas REPRESENTATION For Claimant: Richard Peter Kammet, Albany, California For Respondents: Thomas A. Wiltrakis, Esq., Financial Network Investment Corporation, Torrance, California

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUIUTTES DEALERS In the Matter of the Arbitration Between Name of Claimant David Wredling 95-05952 Name of Respondent National Discount Brokers In a claim filed with the National Association of Securities Dealers, Inc. on December 20, 1995, Claimant David Wredling ("Claimant"), who appeared Pro Se, alleged that Respondent National Discount Brokers ("Respondent"), on Febmary 14, 1995, failed to follow his in