JUN. 1.1998 S'BIPM NflSD REGULBTION R_ NO.249 P.8 •- *. N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Ryan, Beak & Co. No. 9742202 Robert Nastri For Claimant; John L. Van Horn, HI, Esq. of Reeves A Van Horn, Bnglewood, N.J. and Christopher J. Cemiglia of Ryan Beck; & Co., West Palm Beach, Florida. Respondent Robert Nastri ("Nastri") appeared BQJ jfi. Statement of daim filed: April

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Paul S. Webster, Claimant, and Case Number: 97-02201 Rocky Mountain Securities and Investments, Inc,, and George Blankenheim, Respondents. REPRESENTATION OF PARTIES Claimant Paul S, Webster ("Claimant") was represented by Patrick R, Hogan, Esq. of Lasky Fifarek & Hogan P.C. located in Lansing, Michigan. Respondents Rocky Mountain Sec

~FE3.21.1999 N0.92E P.7/10 AWARD NASD Regulation, fine. bi the Matter of the Arbitration Between nf PaineWehber, Inc. 97-02200 Robert M. Wakelcy For Claimant PameWebber, Inc. ("PW"): Patricia E. Cowait, Esq., Senior Associate General Counsel for PW, Fort Tanderriale, Florida* Respondent Robert M. Wakeley ("Wabeley") appeared pro se. CASE INFORMATION Statement of Claim filed: May 2,1997. Claimant's Submission Agreement signed on;

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant I. Scott Edelstein 97-02198 Name of Responded First Montauk Securities George Guttman REPRESENTATION Claimant I. Scott Edelstein ("Edelstein") appeared pro se. For Respondent First Montauk Securities ("First Montauk") appeared Lloyd Clareman, Esq., a sole practitioner with offices located in Brooklyn, New York. Respondent George Guttman ("Gunman") a

NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Ana and George Konstantinidis Case No. 00-01974 Names of Respondents Advest, Inc. David Charles Maynard Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Ana and George Konstantinidis, hereinafter collectively referred to as "Claimants": Stephen Murphy, Esq., Orlando, Florida. For Advest, Inc. ("Advest") and David Charles Maynard ("Maynard"

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Ajbitration Between Name of Claimant Don Goldenhersh and 97-02194 Name nf Respondent A. G. Edwards & Sons, Inc., and Michael C_ Riley REPRESENTATN ARTTFS Don Goldenhersh ("Claimant") was represented by Steven W. Koslovsky, Esq., of Zircher & Hocker, P.C., St. Louis, Missouri. A. G. Edwards & Sens, Inc. ("AGE") and Michael c. Riley ("Riley") (jointly referred to

AWARD NASI.) Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant John R. Hendrickson & Diana I.. Hendrickson: Jcanna M. Hendrickson: and Sheri A. Hendrickson and 07-02188 Name of Respondent Equity Securities Trading Company. Inc. REPRESENTATION OK PARTIES John R. Hendrickson& DianaL. Hendriekson; Jcanna M. Hendrickson: and Sheri A. Hendrickson ("Claimants") were represented by Robertd. Hens

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant August Glen Gischel 97-02181 Name of Respondent Fidelity Brokerage Services, Inc. REPRESENTATION Claimant August Glen Gischel ("Claimant") was represented by Ransom J. Davis, Esq., Daneker, Mclmire, Davis, Schumm, Prince & Goldstein, P.C., Baltimore, MD. Respondent Fidelity Brokerage Services, Inc. ("Fidelity") was represen

NASD REGULATION INC. FINAL ORDER In the Matter of the Arbitration Between Name nf Claimant Elaine M. Miranda 97-02178 Name of Respondents NatWest Securities Corp. NatWest Markets Group REPRESENTATION For Claimant Elaine M. Miranda ("Claimant") appeared Frank P. Gangemi, Esq. with law offices located in Brooklyn, New York. For Respondents NatWest Securities Corp. and NatWest Markets Group (collectively "Respondents") appeared Laurence

DEC.15.1998 9:a5flM NflSD REGULflTION FL N0.315 P.37 NASD REGULATION, INC. STIPULATED AWARD Office ol Dispute Resolution In the Me.tter of the Arbitration Between J.B. Harwuer&Co. Case No. 97-021 73 N»me of Respondent George Kpivak REPRESENTATION OF PARTIES For Claimant Brian F. Spector, Esq. and Miriam Lefkowltz, Esq. of the law firm of Kenny Nachwater Seymour Arnold Critahlow & Spector, P.A., Miami, Florida. For Respondent John D. Boykin,