NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Brown & Company Securities Corp., Claimants, V, No. 95-05661 Kenneth J. MuUer, Respondent. REPRESENTATION OF PARTIES Claimant Brown & Company Securities Corp. was represented by Barry S. Fischer, Esquire of Bernkopf, Goodman & Baseman located in Boston, Massachusetts. Respondent Kenneth J. Muller was represented by David B. Dyer of OTVeill & Dy

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marlene G. Eisman 95-05673 Name of Respondent Gruntal & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 4, 1995, Claimant Marlene G. Eisman ("Claimant"), who appeared Pro Se, alleged that Respondent Gruntal & Co., Inc. ("Respondent") mismanaged her IRA account. Claiman

AWARD NASD REGULATION INC. OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Jeffrey M. and Carol E. Lezak 95-05682 Name of Respondent Fidelity Brokerage Services, Inc. REPRESENTATION For Claunants: Jeffrey M. and Carol E. l^zak ("Lezak") were represented by Gary M. Smclair, Esq. and Erick J. Bohlman, Esq. of Swift, Popuch & Sinclair, located in Chicago, Illinois. For Respondent: Fidelity Brokerage Service

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Fidelity National Capita) Investors Inc. 95-05680 Name of Respondent Frederick E. Salzillo REPRESENTATION For Claimant FideUty National Capital Investors Inc. ("Fidelity") appeared Wayne A. Krause, Esq., of the law firm of Krause & Hirons located in Marietta, Georgia, Respondent Frederick E. Salzillo ("Salzillo") filed an answer

NASD Arbitration No. 95-05683 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DFIAT.ERS. TNC lit the matter of the Arbitration Between Name of Claimantfs) Anthony D. Young Name of ResTPonder t f s) Corporate Benefit Securities, Inc. REPRESENTATION For Claimant: Robert A. Fink, Esq., San Diego, California For Respondent: No Appearance by Respondent Corporate Benefit Securities, Inc. CASE INFORMATION Statement of Claim filed: Decem

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant James Myzick 95-05692 Name of Respondents Matthew J. Hirsch Garvey W. Fox Jack Wolynez A.R. Baron & Co., Inc. REPRESENTATION For Claimant James Myzick ("Claimant"): Steven G. Storch, Esq. of the law firm of Storch Amini & Munres, P.C, Steriing, VA For Respondents Matthew J. Hirsch ("Hirsch") and Garv

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Kathy Keljik 95-05696 Name of Respondents A.G. Edwards & Sons, Inc. Dan Santanello Allen Freeman Pamela M. Nottingham REPRESENTATION Claimant Kathy Keljik ("Claimant") was represented by leuan G. Mahony, Esq., Sherburne, Powers & Needham, Boston, MA. Respondent A. G. Edwards & Sons, Inc. ("A.G. E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James L. Breitenstein Name of Respondent Chappo & Company, Inc. 95-05636 REPRESENTATION For claimant James L. Breitenstein ("claimant") appeared Marc S. Dreier, Esq., a sole practitioner, located in New York, New York. For respondent Chappo & Company ("respondent") appeared Michael G. Shaimon, Esq., of the law firm of Phillip

AWARD NASD Regulation, Inc. Office of Dispute Resolution- In the Matter of the Arbitration Between Bernard Blasenheim, Harriet Blasenheim, Rafael German, Judith German, Judith German, as Tmstee of the Daniel & Tomas German Tmst, Leo Blasenheim, as Tmstee of the Judith German & Philip & Alex Blasenheim Tmst, Alex Blasenheim, as Tmstee of the Daniel, Tomas & Miguel German Tmst, and Bemanrd Blasenheim, as Tmstee of the Bemhart Family Tmst, Claiman

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ronald E. Reed 95-05594 Name of Respondents Prudential Securities Inc. Donald Marshall CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 29, 1995, Claimant Ronald E. Reed ("Claimant"), through his representative and counsel, Robert M. Roth of R.M. Roth & Associates, located in