NASDR AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Raymond E. Brown 95-05459 Name of Respondent NationsSecurities REPRESENTATION Claimant Raymond E. Brown ("Claimant") represented himself. Respondent NationsSecurities ("Respondent") was represented by David P. Mitchell, Esq. of the law firm of Kennedy Covington Lobdell & Hickman, L.L.P. located in Charlotte, NC. CASE

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Chatfield Dean & Co., Inc. and 95-05479 Name of Respondent Marc S. Feder REPRESENTATION OF PARTIES Chatfield Dean & Co., Inc. ("Claimant") was represented by David E. Graven, Esq., Chatfield Dean & Co., Inc., Greenwood Village, Colorado. Marc S. Feder ("Respondent") was represented by Otto K. Hilbert, II, Esq., Reinhart Boerner Va

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SF.rTJRTTIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant-^ Jerry Heath V. Name of Respondents A.G. Edwards & Sons, Inc. REPRESENTATION Jonathan Schwartz, Esq. Marina Del Rey, Califomia M. Jane Matoesian, Esq. A.G. Edwards and Sons, Inc. St. Louis, Missouri CASE INFORMATION November 20, 1995 NASD Arbitration No.95-05481 For Claimants: For Responde

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Duke & Company, Inc. Name of Respondent Patrick Murtagh 95-05491 REPRESENTATION For Claimant Duke & Company, Inc. ("Claimant") appeared Kenneth Gatz, Esq., of the law office of Gersten Savage Kaplowitz & Curtin, LLP, located in New York, New York. Claimant did not enter an appearance at the hearing in this matter, but did file a Statement of Claim and a s

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant First Montauk Securities Corp. 95-05496 Name of Respondent Ronald L. Buchter CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 20, 1995, First Montauk Securilies Corporation ("FMSC") through its counsel, Robert I. Rabinowitz, Esq, alleged that Respondent Ronald L. Buchter ("Respon

N.A.S.D. AWARD NATIONAL ASSOCL\TION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Jeannelle C. Lay 95-05497 Name of Resoondentfs) Dean Witter Reynolds Inc. Stephen Languell CASE SUMMARY In a claim filed with the National Association of Securilies Dealers, Inc. on November 20, 1995 Claimant Jeannette C. Lay, who appeared Pro Se, alleged that Respondents Dean Witter Reynolds Inc. and Stephen Languell ("La

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael Lee and Judith Ann Doyle 95-05498 Name of Respondents Corporate Securities Group, Inc. William D. Joyce Ronald Eiger CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 20, 1995 Claimanls Michael Lee and Judith Ann Doyle ("Claimanls"), who appeared Pro Se, alleged that

95-05503 N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitralion Between Name of Claimant Geoffrey L. Steiert Name of Respondents Pmdential Securilies, Inc. The Wellington Group, Inc. Alfred M. Pieirangelo REPRESENTATION Claimant Geoffrey L. Steiert, Esq. ("Claimant") appeared pro se. Respondent Pmdential Securities Inc. ("PSI") was represented by Pamella M. Kenny, Esq., Pmdential

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name ot Claimant Kristine A. Miller 95-05516 Name of Respondent BA Investment Services, Inc. Bruce Kettner CASE SUMMARY In a claim filed with the National Association of Securilies Dealers, Inc. on November 21, 1995, Claimant Kristine A. Miller ("Claimant"), dirough her represeniaiive and counsel, Mario W. Mainero, Jr.. Esq., located in Newpor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph T. Gunn 95-05532 Name of Resoondents Schroder Wertheim ^ Co. Inc. GKN Securities Corp. GKN Holding Corp. Steven Lutz Robert Levine Martin Schaffer Vincent Bmno Roger Gladstone REPRESENTATION For claimant Joseph T. Gunn ("Gunn") appeared Hyman Hacker, Esq. of the law firm of Albanese, Albanese & Fior