Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Catherine B. Cash. Claimant Case Number: 01-04463 vs Bane of America Investment Services, Inc., Respondent Hearing Site: Charlotte, North Carolina REPRESENTATION OF PARTIES Claimant Catherine B. Cash, hereinafter to as "Claimant": James M. Herring, Esq., Jones, Scheider & Patterson, P.A., Hilton Head Island. Respondent Bane of America Investment Services, Inc. ("BAISF)

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Maria Ellerman, Claimant, David C. Harrison, and Bear, Steams Securities Corporation, Respondents. No. 94-04202 REPRESENTATION OF PARTIES Claimant Maria Ellerman ("Claimant") was represented by Robert 0. Oyer, Esq., of Jennings & Haug, Phoenix. Arizona. Respondent Bear, Steams Securities Corporation ("BSSC") was represented by Michael C. Licosati, Esq., of Keesal, Young & Logan, L

AWARD NASD Regulation, Inc. Ofiice of Dispute Resolution In the Matter of Aibitration Between Bob Fewell, Claimant, and Smith Bamey Shearson, Inc., and Jim Homibrook, Respondents. In the Matter of the Arbitration Between Bob Fewell, Claimant, and Smith Bamey Shearson, Inc., and Jim Homibrook, Respondents. Case No. 94-04201 (Consolidated with: Case No. 95-01087) REPRESENTATION OF PARTFF.S Bob FeweU was represented

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of Claimant Dale Madsen 94-04197 Name of Respondent R.J. Steichen &. Co., Inc. Rcnresentation of Parties Claimant, Dale Madsen ("Claimant") appeared at the hearing and was represented by William D. HuU, Esq. of Coleman HuU & VanNUet, Bloomington, Minnesota. Respondent, R.J. Steichen & Co., Inc. ("Respondent") ai^ieared at the hearing and wa

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Maurice N. Mason 94-04179 NameofRespondentfs) Jeffrey R. Modiano Kedem Capital Coiporation Salvatore J Buonaiuto J. Gregory & Co.,Inc. CASE SUMMARY In a claim fUed with the National Association of Securities Dealers, Inc. on October 10, 1994, Claimant Maurice N. Mason, who appeared Pro Se, aUeged that Respondents J. Gregoiy and Company,

, • N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nam^ of Claimantfs^ James P. Fisher 94-04178 Name of Respondents) Janney Montgomery Scott Inc. Steven A. Sora CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 4, 1994, Claimant James P. Fisher, who ^ipeared Pro Se, aUeged that Respondents Janney Montgomery Scott, Inc. ("Janney") and Steve

N,A.S.PtAWARP NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Aibitration Between Name of Claimams Mark Dmyan and Rosiyn Dmyan NASD Aibitration No. 94-04176 Name of Respondents Southwest Partners, Financial West Group, Patricia Yau and Douglas Waisner REPRESENTATION For Claimant: Steve A. Buchwalter. Esq. and Bmce Garfield Law OfiBce of Steve A. Buchwalter Woodland HUls. California For Respondem: H. Thomas Fefan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In die Maner of die Arbitration Between Name of Claimants Venmre Tile, Inc. Defined Benefit Pension Plan by R. J. Venwrelli, Trustee 94-04168 NamenfResDondente Bateman Eichler, Hill Richards, Inc.; Kemper Securities, Inc.; Kemper Clearing Corporation; Patrick DiGiacomo; Robert Hill: and Robert Willard REPRESENTATION For Claunant: Venture Tile, Inc. Defuied Benefit Pens

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In die Matter of die Arbitration Between ^yt^y Iff Claipiante James C. and Doris Permenter 94-04164 NameofResoondems AMR Securities Inc. Amr Ibrahim Elgindy ArmstroAg, McKinley & Company, Inc. Don Edward Waddns Maiy Elgindy Russell L. Aimstrong REPRESENTATION For Claimants James C. and Doris Permenter ("Pennenters"); H. Douglas Powell. Esq. of Plantation, Fl. and Matdie

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds Inc. 94-04161 Waip?9f«??P9°tfgpt Sharon Miller CASE SV^^MAyY In a claim filed with the National Association of Securities Dealers, Inc., on October 7, 1994, Claimant, Dean Witter Reynolds, Inc., through its representative Thomas J. Hanrahan, Esq., New York, N.Y., alleged that Respondent, Sharon Miller opened