N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In Uie Matter of the Arbitration Between Name of Claunant Perry D. Unwalla 94-04681 Name of Respondems Todd M. Spehler Gaiy C. Becker In a clabn filed with the National Association of Securities Dealers, Inc. on November 7, 1994, Claimant Pdiy D. Unwalla, who appeared Pro Se, alleged tiiat Respondents G^ C. Becker and Todd M. Spehler, infbnned Claimant tbat purchasing 15,000 share

N.A.S.D. AWARD NA'nONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between NameofCbimant Houshang Etessam, M.D. 94-04679 Name of Respondents Merrill Lynch, Pierce, Fenner & South, Inc. Dale R. Reed, m Wilbur Monier CASE SUMMARY In a claim filed with the National Association of Secuiities Dealcfs, Inc. on November 7,1994,' Claimant Houshang Etessam, M.D., wbo appeared Pro Se, allied that.Respondents Merrill Lyn

N.A.S.D. AWARD NA'nONAL ASSOCIATION OF SECURITIES DEALERS In te Matter of te Arbitration Between Name of Claunantls) Frank and Judy Chevres Name of Respondent(s> 94-04676 Network 1 Financid Securities, Inc. Jeff Amir a/k/a Amirhirabi REPRESENTATION For Claimants Frank and Judy Chevres: Gary W. Hatch, Esq., of te law firm of Ragsdde, Beals, Hooper and Seigler, Atianta, GA. For Respondents Network 1 Financid Securities, Inc. ("Network 1")

94-04664 NA'nONAL ASSOCIA'nON OF SECURITIES DEALERS In te Matter of te Arbitration Between Name of ddmants Paterson Federd Credit Union Name of Respondents First Intenegiond Equity Corporation RgPRESgNTATION For Cldmam Paterson Federd Credit Umon appeared A. Thomas Monis, Esq. of te law firm Kirkpatrick & Lockhart, located in Washington, DC. For Respondent First Interregiond Equity Corporation appeared Stephen P. Younger, Esq. of te law firm

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In te Matter of te Arbitration Between Name of Claimant PaineWebber, Inc. 94-04663 Name of Respondent David A. Wood REPRESENTA'nON Claimant PaineWebber, Inc. ("Claimant") was represented by Thomas M. Mierswa, Jr., Assistant General Counsel for PaineWebber, Inc. Respondent David A. Wood ("Respondent") did not appear. CASE INFORMATION Statement of Claim filed

In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-04358 Janney Montgomery Scott LLC Name of the Respondent Hearing Site: Tampa, Florida Scott D. Harwell Reginald M. Berthiaume REPRESENTATION OF PARTIES For Janney Montgomery Scott LLC, hereinafter referred to as "Claimant": Michael S. Taafe, Esq. and Jennifer B. Compton, Esq., Abel, Band, Russell, Collier, Pitchford & Gordon, Chartered, Sarasota, Florida. For Scott D.

NASD AWARD NATIONAL ASSOCLVTION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant William J. Hdey ^ M " (? H t ^- I and Name of Respondent Pmdential Securities, Incorporated REPRESENTATION OF PARTIES William J. Hdey ("Claimant") was represented by James R. Pender, Esq. and Michael J. Ptak, Esq. of Lax, Vaughan, Pender & Evans from Little Rock, AR. Pmdential Securities, Inc. ("Respondent") was represented b

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Robert M. Redmond and NASD Case Number: 94-04646 Name of Respondents Gruntal & Co., Inc., and Steven Danielli REPRESENTATION OF PARTIES Claimant, Robert M. Redmond was r^resemed by Cynthia Jokda, Esq. of Frederick & Byron, P.A. located in Minneapolis, Minnesota. Respondents, Gmntd & Co. and Steven Danielli were represente

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of tbe Arbitration Between Z^nep M. D'Andria & Benuurd D'Andria 94-04645 Barron Chase Securities, Inc. Timur Yakhin Joseph D. Corawell In a claim filed with the National Association of Securities Dealers, Inc. on November 4, 1994, Claimants Zeynep M. D'Andria and Bernard D'Andria, who appeared Pro Se, stated that on September 30, 1994, Bernard D'Andria placed an order to seU

N.A.S.D. AWARD NATIONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of te Arbitration Between Name of Claimant John Leo 94-04642 Name of Respondents Schroder Wertheun & Co. Inc. Quest Capitd Strategies, Inc. i-noN For Cldmant John Leo ("Cldmam") appeared Mark S. Frey, Esq. of New York, New York. For Respondents Quest Ci^iitd Strategies, Inc. ("C^est") and Wertheun Schroder & Co: Inc. ("Wertheim") appeared H. Thomas Fehn, Esq. of the