AWARD NASDR Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Ralph Fleming, Claimant, V. No. 95-04612 Prudential Securities, Inc. and Randy M. Wolken, Respondents. REPRESENTATION OF PARTIES Claimant Ralph Fleming was represented by Donald M. Feferman, Esquire of Feferman & Rehler, L.L.P. located in Corpus Christi, Texas. Respondents Prudential Securities, Inc. and Randy M. Wolken were both represented

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant ESI Securities Company 95-04291 Name of Respondent First Southwest Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 8, 1995, ClaimaA ESI Securities Company ("Claimant"), through its in-house counsel, Jennifer A. Connors, Esq., alleged that Respondent First Southwest Comp

N.A.S.D. ^mP^ NATIQI^AT, ASSQCIATTON QF SPirTTPTTTES nP^AT.PPc^ TM^ In the matter of the Arbitration Between Name nf n^Hmantfs^ Eugene A. White Name of Rpsnond^nt r^) Monterey Bay Securities, Inc, Kenneth Doolittle Tom Marsella NASD Arbitration No. 95-03109 For Claimant: California REPRESRfTTa'rTnxf William P. Torngren, Esq., old Sacramento, For Respondents: John A. Bender Tr- TT • .Howard, Seattle, Washington ' '

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David A. and Cyd Leon 95-04109 Name of Respondent A.S. Goldmen & Co.,Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 28, 1995, Claimants David A. and Cyd Leon ("Claimants"), who appeared Pro Se, alleged that Respondent A.S. Goldmen & Co., Inc. ("Respondent") made unauthorize

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claiinant Jack Y. Kahn as Trustee for the Jack Y. Kahn Trust 95-03080 Name of Respondents Stephen L. Ross David Abraham Blech Alec Edward Hoke D. Blech & Company, Incorporated CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 26, 1995, Claimant Jack Y. Kahn as Trustee for the Jack Y. K

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Christine J. Eppley, Personal Representative of the Estate of Beverly J. Hibbard, Deceased NASD Case Number: 95-02660 Name of Respondent Pmdential Securities, Inc. REPRESENTATION OF PARTTFS Claimant Christine J. Eppley, Personal Representative of the Estate of Beverly J. Hibbard, Deceased ( Claimant ) was represented by Thomas

NASD AWARD NATIONAL ASSOCL^TION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Nfichaei C. Duhon and NASD Case Number: 95-02801 Name of Respondent Charles Wally McMakin Claimant Michael C. Duhon ("Claimant") was represented by E. Scott Hackenberg, Esq. of Baton Rouge, Louisiana. Respondent Charles Wally McMakin ("Respondent") was represented by Gary A. Bames, Esq. of Gambrell & Stoltz, L.L.P. located in A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Beverly A. Douglass Charies Faull Susan J. Goodman 95-02216 Name of Respondent(s) NationsSecurities CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 8, 1995, Claimants Beverly A. Douglass, Charles Faull and Susan J. Goodman, who appeared Pro Se, alleged that Respondent Nati

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claiinant Shirley B. Bloom 95-02656 Name of Respondents A.G. Edwards & Sons, Inc. Ronald P. Reyes REPRESENTATION Claimant Shirley B. Bloom ("Claimant") was represented by Steven G. Storch, Esq., Storch, Amini and Munves, New York, NY. Respondents A.G. Edwards & Sons, Inc. ("A.G. Edwards") and Ronald P. Reyes ("Reyes") were represe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Mancuso, (Claimant) vs. A.G. Edwards & Sons, Inc. and Eugene D' Amico, (Respondents) Case Number: 01-06391 Hearing Site: Albany, New York Claimant, Robert Mancuso, hereinafter referred to as "Claimant": Stuart E. Finer, Esq., Attorney at Law, Utica, NY. Respondents, A.G. Edwards & Sons, Inc. ("Edwards 5 ') and Eugene D'Amico ("D' hereinafter collectively referred to a