N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Maner of the Aibitration Between Name of Claimants Jeffrey I. Miller and Inge Loth 94-04328 Name of Resixindent Muriel Siebert & Co.,Inc. In a claim filed with the National Association of Securities Dealers, Inc., on October 18,1994, Claimants, Jeffrey I. Miller and Inge Loth ("Claimants"), who aj^ieared Pro Se, alleged that Respondent, Muriel Siebert & Co., Inc. ("Respondent"), pl

N.A.S.D. AWARD NATIONAL ASSOCU'nON OF SECURITIES DEALERS In the Maner of the Arbitration Between Name of Claimant Grant Trust, James Grant Trustee 94-04327 Name of Respondent's^ Lindsay C. Riley Thomas James Associates CASE SUMMABY In a claim filed with the Nattonal Association of Securities Dealers, Inc. on October 18,1994, daimant Grant Trust, James Grant Trustee, who appeared Pro Se, alleged diat Respondents Thomas James Associates, I

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Aibitration Between Name gf Claimant GKN Securities Corp. 94-04326 Name of Respondent Wendell S. Alcenat CASESIIMMAWV In a claim filed with the National Association of Securities Dealers, Inc. on October 18, 1994, Clainumt GiCN Securities Coip. ("GKN"), through its in-house counsel Katherine Nathan, Esq., New York, New York, alleged that on or about March 31, 1993,

N.A.S.D. AWARD NATIONAL ASSOCU'nON OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimams Lorraine Walsh & Joann White, Co-Executors 94-04324 FSC Securities Corp West Financial Planners Sandra West King West Financial Enterprises Inc. REPRESENTATION Claimants Lorraine Walsh and Joann White, Co-Executors ("Claimams") were represented at the hearing by Linda M. Deola, Esq. of Reynolds, Motl, Sherwood and Wright, of

N.A.S.D. REGULATION, INC. STIPULATED AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Bear Stearns & Company 94-04323 Name of Respondents Glenn P. Kenveis REPRESENTATION For Claimant, Bear, Steams, & Co., Inc., appeared Michael C. Licosati, Esq. from the law firm of Keesal, Young & Logan located in Long Beach, California. For Respondent, Glenn P. Kernweis. appeared Arthur A. Graves, HI, Esq. from the

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimant Jose A. Padilla and 94-04210 NameofRwpQndem D.E. Frey & Company, Inc. D.E. Frey & Company Group, Inc. Dale E. Frey REPRESENTATION OF PARTIES Jose-A. Padilla ("Claimant') was represented by Jack W. Benyhill, Esq., Berryhill, Cage & North, P.C, Denver, Colorado. D.E. Frey & Company, Inc. ("Respondent Company") D.E. Frey

N.A.S.D. AWARD NA'nONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of (jllj^imyjp^ Michael Gerard Christiani George Weiss Associates, Inc. 94-04208 ^RPmr-SHj-NTATION For claimant Michael Gerard Christiani ("claimant") appeared David B. Wechsler, Esq., of Wechsler & Burskey, LLP. located in New York, New York. For respondent George Weiss Associates, Inc. ("respondent") Robert M. Dombroff, Esq. of Bingham,

NASD AWARD NATIONAL ASSCK:IATI0N OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Stifel, Nichoiaus & Company, Incorporated, Claimant, vs. No. 94-04207 Glen Tschetter, Respondem. REPRESENTATION OF PARTIES Stifel, Nichoiaus & Company, Incorporated ("Claimant") was represented by Michael J. Runzi, Esq., of Stifel, Nichoiaus & Company, Incorporated, St. Louis, Missouri. Glen Tschetter ("Respondent") failed to appear

N.A.S.D. AWARD NATIONAL ASSOQATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Name nf Claimants James Noryian and Holly Hooten 94-04205 Name of Respondents Clearing Services of America, Pershing Financial Group and Mr. David Higgs Claiinants, James Noryian and Holly Hooten ("Claimants") appeared at the hearing and represented themselves. Respondents Pershing Financial Group and Clearing Services of America, Inc. were

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between The Estate of Richard J. Anderson by Carol M. Drake, Executrix 94-04204 Gibraltar Securities Co. Michael Chait REPRESENTATION For Claimant the Estate of Richard J. Anderson by Carol M. Drake, Executrix ("Claimant") appeared James Laughlin, m, Esq. of the law firm Sposoro, Coppel & Laughlin, P.C. located in Chester, New Jersey. For Responden