AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter ofthe Arbitration Between Name nf Claimant L.ynn Edward Larson and Nancy M. Larson and 94-02907 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. James L. Barnes REPRESENTATIOl Lynn Edward Larson and Nancy M. Larson ("Claimants") were represented by Paul Collins, Esq., Treecc, Alfiey & Musat, Denver, Colorado. Merrill Lynch, Pierce, Fenner & Smith, Inc. (

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter ofthe Arbitration Between >Iame of Claimams Viren R. Patel and Rajani V Patel and Case Number 94-02906 Name of Respondents R. Keith Aufhauser and K. Aufhauser & Company, Inc. REPRESENTATION OF PARTIES Viren R. Patel and Rajani V. Patel ("Claimams") were represented by Allen D. Russell, Esq. of Wauson A Associates, P.C. located in Houston, Texas. R. Keith Aufhauser and

NASD REGULATION, INC. AWARD Oflfee Of Dbpute B[isoliitioa bi the Maner of the Afbtoatlofl Between HJmwrfClainttptff Steve Brass Smidi Bamey Shearson, Inc. Sichtfd Dean Bnisca Case No. 94-02904 nvjmsuNTA'nins (xv PARTIES For Claimant: Russell L. Foilceyi Baq. of the law fum of Russell L. Foricey P.A., Fort Lauderdale, Florida* Fbr Se^ondents Smidi Boney Sheaison, Inc. ("SB") and Bicbaid Dean Bnisca ("Bnuca"): WiDiam A. Hduiuer, Esq. o

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-05752 Aquarina Developments, Inc. Names of the Respondents Hearing Site: Tampa, Florida Burlington Capital Markets, Inc. Lehman Brothers, Inc. REPRESENTATION OF PARTIES For Aquarina Developments, Inc., hereinafter referred to as "Claimant": Neal J. Blaher, Esq., Law Office of Neal J. Blaher, Orlando, Florida. For Respondent Lehman Brothers, Inc. ("Lehma

NASO REGULA riON AWARD In the Matter of the Arbitration Between Name of Claimants Bernard Silverman A Rhonda Silverman 94-02903 Greenway Capitol Corp. Joseph Guccione Mayer Amsel Paul Fiorini Neil Feintuch Ira B. Feintuch For Claimant Bernard Silverman and Rhona Silverman ("Claimants") appeared Bruce S. Shcacffer, Esq., a sole practitioner with offices in New York, New York. For Respondents Greenway Capitol Corporation ("Greenway") a

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter ofthe Arbitration Between Name of Claimant Velma Yeargain and 94-02866 Vlampnr Respondent Kemper Securities, Inc. John M. Webb REPRESENTATION OF PARTIES Vclma Yeargain ("Claimant") was represented by Richard H. Goldberg. Esq., Friedlob, Sanderson, Raskin. Paulson and Tourtillott. L.L.C.. Denver. Colorado. Kemper Securities, Inc. ("Respondent Kemper") was represente

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Fidward Patrick Ward 94-02863 NameofResDondentfsl CIGNA Financial Advisors. Inc. Individual Financial Services Division and the Individual Insurance of Connecticut General Life ln.surance Company REPRESENTATION For Claimant Edward Patrick Ward ("Ward"), Uura S. Schnell, Esq. of the firm Vladeck, Waldman. Ellas & Engelhard, P.C. located in N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaimantfs^ John W. and June K. Sercer 94-02859 NamenfResnondentfsl Shearson Lehman Hutton, Inc. Brian Dennis Martzolf ^FiFRyrffFlSTA^nN The Claimants* representative was their son Richard Sercer. For Respondents Shearson Lehman Hutton, Inc. ("Shearson") and Brian Dennis Martzolf: Sean J. Coughlin, Esq., in-house counsel at Smith Bame

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of tbe Arbitiation Between Name of Claimant Robert Larloith 94-02855 Name of Resrxmdent FkieUty Investmems CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 22, 1994, Claimant Robert Laikrith, who appeared Pro Se, alleged that Respondent Fidelity Investments allowed him to buy $19,500.00 of highly specuUttive stock options in

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUIUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mark Mayor^'itz, Tmstee for Molly Mayorwitz 94-02850 Name of Respondents Steven Rothman Daniel Naert CASE SUMMARY ( In a claim filed with the National Association of Securities Dealers, Inc. on July 22. 1994, Claimant Mark Mayorwitz, Tmstee for Molly Mayorwitz who appeared Pro Se, alleged that Respondents Steven Rothman and