Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rochelle Brown individually and obo her IRA and Sheldon Brown Individually and obo his IRA vs. Irvin W. Rosenzweig, PNC Brokerage Corporation, Nationwide Life Insurance Company, UBS Financial Services, Inc. Case Number: 04-03234 Hearing Site: Philadelphia, PA Nature of the Dispute: Customers vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Rochell

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Thimi Pappas Case No. 99-01266 Name of Respondent Wheat First Securities, Inc. REPRESENTATION OF PARTIES Claimant, Thimi Pappas ("Claimant") was represented by Melvin E. Caine, Attomey at Law, Media, PA. Respondent, Wheat First Union f/k/a Wheat First Butcher Singer ("Respondent") was represented by Brian A. Carlis, Esq, of the law firm of Start & Stark,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03296 H. Kroez Living Trust, claimant vs. Wall Street Access, respondent. ATTORNEYS: Claimant appeared Pro Se, Garden City South, NY. For Respondent appeared in-house counsel, Joseph A. Mendola, Esq., New York, NY. DATE FILED: July 3, 1997. CASE SUMMARY: Claimant alleged that respondent failed to follow his instructions to sell 300 shares of H.B. Fuller co

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of CJaimant Gateway Partners, LLC and Case Number 99-00987 Name of Respondent Keith Kozel REPRESENTATION OF PARTIES For Gateway Partners, LLC ("Claimant") appeared Andrew P, Weiss, Esq., a sole practioner, located in New York, New York. For Keith Kozel ("Respondent") appeared Ted Poretz, Esq., of the law firm Richards & O' Neil, LLP, located in New York, New

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nameofdaimamfs) Frank and Judy Chevres 94-04676 Name of Resoondentfs) Network 1 Financial Securities, Inc. Jeff Amir a/k/a Amirhirabi REPRESENTATION For Claimants Frank and Judy Chevres: Gary W. Hatch. Esq., of the law firm of Ragsdale. Beals. Hooper and Seigler, Atlanta. GA. For Respondents Network 1 Financial Securities. Inc. ("Network 1")

AWARD NASD Reguiation, Inc. In the Matter of the Arbitration Between Name of Claimant Allen and Shelly Glushakow and 94-05136 Name of Respondent Emanuel & Company Sheldon Kraft Eric Emanuel Axel Mehrle REPRESENTATION OF PARTIKS Allen and Shelly Glushakow ("Claimant") was represented by Brian A. Carlis, Esq. of Starks & Starks, located in Princeton, Now Jersey. Emanuel & Company ("Respondent Emanuet & Co.") did not appear. Sheld

JUN.29.199a 3=05PM NASD REGLLflTICM FL NO.634 P.16 NASD REGULATION, INC. AWARD * Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Michael S, Zeide Case No. 97-03287 Names of Respondents Sanford C. Bernstein & Co., Inc. and Myles Wittenstein REPRESENTATION OF PARTIES For Claimant Delmer C. Gowing, III, Esq. of the law firm of Delmer Cowing III. PA, Deiray Beach, Florida. For Respondents Sanfor

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Joshua Horwitz and 97-3284 Name of Respondent Prime Charter, Lid. Simon Rose REPRESENTATION OF PARTIES Joshua Horwitz ("Claimant") appeared pro se. For Respondents Prime Charter, Ltd. and Simon Rose ("Respondents") appeared David N. Mahler, Esq. CASE INFORMATION Claimant filed the Statement of Claim on or about July 2, 1997. The Uniform Submissi

NASD REGULATION. INC. AWARD fn the Matter of the Arbitration' Between Name of Claimants Estates of George E. Davis and Madelyn Loy Davis Case No. vs. . 97-03282 Name of Respondents C.A. Atlantic Securities, Inc. Coburn & Meredith, Inc, H.C. Wainwright & Co. Inc. Robert Lee Clark Barry M. Coburn James D. Winchester Dale C. Trask REPRESENTATION For Claimants Estates of George B. Davis ("Mr. Davis") Madelyn Loy Davis ("

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Robert and Jeanette Tracey 97-03278 Name of Respondents First Cambridge Securities Corp. Michael Richardson REPRESENTATION Claimants Robert and Jeanette Tracey ("Claimants") appeared pro se. For Respondent First Cambridge Securities Corp. ("First Cambridge") appeared Mark S. Bauman, Esq., a sole practitioner with offices located in New York, New York.