AWARD NASD Regulation. Inc. In the Matter of the Arbitration Between Name of Claimant Richard T. Arden and Names of Respondents Prudential Secunties, Inc. and Jack Lasday RF.PRE.SF.NTATinN IW PARTTITS Claimant Richard T. Arden, ("Arden") was represented by James J. Eccleston, Esq. of Eccleston & Associates, P.C. located in Chicago, Illinois. Respondent Prudential Securities, Inc. ("Prudential") and Respondent Jack Lasday ("Lasday") w

KASD REGOLAXBON, INC. AVABt) fit tbe ^iCtiiK of die AihitrBtjon Baeven ftcndeafci SMorittfa. toespcrmal « 974)6070 SoottBitciJidi pffT narniif' Stwunt P Gmwhfg. Et^. flf < ha law fam «f CWiiliferg g«ne A Htcftef, LfaL, ChieiBft, Bliafff. IheXoiiiiadent appensd pre sew StattUBct 3f dahn (Bed: DeeeBDfasr 30,1997. QapMM'i Sabnjgion Agreemeat signed ca: Peceaiber 28,1997. Stnemert of Anwer filed by Ba^wsdcatin: May 11» 1998. BMpiiid:r.fa Sobi

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Ken Brown and 01-05034 Kansas City, Missouri Name of Respondents Commerce Brokerage Services, Inc. Shareen A. Beal Joseph G. Schisler Robert M. Carr, Jr. REPRESENTATION OF PARTIES Ken Brown ("Claimant") appeared pro se. Commerce Brokerage Services, Inc. ("Respondent Commerce"), Shareen A. Beal ("Respondent Beal"), Joseph G. Schisler

NASD REGULATION, INC. AWARD NASD Rcfjulatioii, Inc., Office of IXspuie Resolution In the Miller of the Arbitration Between NaiTi i-^f riaitt^nt Raymond S. Graiile NASD CASE NO. 97-05782 PCM Securities, Ltd. and Kirk HufQer LTION Qaunant ruymond S. Graule ("Granle") appeared pro se. For ResiKindent PCM Securities, Ltd. ("PCM"): Arnold Y, Sternberg, Esq. of Arnold Y. Steinberg, P.C, For. Laudendale, Florida. On July 16, 1998, Anold Y. Sttinber

NASD REGULATION, INC. AWARD NASD RcfuCation, IDC, Office of Disipute Resolutioii In the Ma 1:-r of the Arbitration Bestween J. Wayne .gladden 97-0SS80 JohnBruo; Nicholas J. D'Ainico, Jr. Gerald Shi.'oe I.W. Barcjy&Co., Inc. For aaiirixit: Charles E. LeGette, Jr., Esq,, Washington, Georgia. For Respd.ideuts: R. Phillip Shioall, m, Esq. of die law fiim of Holland & Knight, L.L.P., Adama, OeoTjia. Statemeoi of Claim filed: November 25, 1997

NASDHEGiyJlONjaVtilD NASD Rtigniafion, Inc. Office of IMspnte KescAiitUni In fh« ^totec of the AiUccatimi Betwaen "BlVr* ftf 'rlMlllff^ F«ye J. and Edgar 5. Hodges, JTWROS Case No. 97-05262 ^ames of Resinypijcnt* Smitti Btmey, Inc. Mw^bael DeGolian William Iliomu Davis Claimants were represented 1^ Alton B. Parlcer j>f Spain & Oillon, fiiimiflj^ain, AUbama and ^ J. Tii&othy Francis of lanies Nonii & Associates, Birmingbam, Alabama. Kesponden

Award NASD Dispute Resolution In the Matter ofthe Arbitration Between: Name ofthe Claimant Case Number: 97-04860 Anne K. Russell Names ofthe Respondents Hearing Site: Tampa, FL A.G. Edwards & Sons, Inc. Copeland Carter Nature ofthe Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Anne K. Russell, hereinafter referred to as "Claimant": William Randolph Klein, Esq., Sarasota, FL. For A.G. Edwards & Sons, In

NASD REGULATION, INC. MODIHED AWARD In the Matter of the Arbitration Between Name of Claimant Richard Morrow vs. Case No. 97-04539 Name of Respondents James Salvador Heitzer, Christine Ann Heitzer, Anthony Lovallo, Renaissance Financial Securities Corp., Todd M. Spehler, William Holmquist, Arthur Kishpaugh REPRESENTATION For Claimant Richard Morrow ("Claimant") appeared Richard De Vita, Esq., a sole practitioner with

NASD Regulation, Inc., Award In the Matter of Arbitration Bet^veen Christopher R. Cramm Claimant, and No. 97-04302 Davis & Jennings, Inc., WiUiams, Buchanan & Co., a/k/a The Williams Financial Group, Correspondent Services Corporation, Larry V. Davis and Marek Ast, Respondents. REPRESENTATION OF PARTIES Claimant, Christopher R. Cramm ("Cramm") was represented by Matthew K. Davis, Esquire of Zelle &. Larson, L.L.P., located in Dallas, Tex

AWARD NASD Regulation, Inc. In the Matter ofthe Arbitration Between Name of Claimants Deka Electric Co., Inc. Profit Sharing WiUiam B and Mary D. Lich George S. Atzinger and 96-00721 Name of Respondents G.R. Stuart & Co., Inc. Henry R. Fisher Greg Richard Stuart Mark Thomas McCloskey Carmen EUo, Jr. REPRF.SF.NTAnON OF PARTTV.S Delta Electric Co., Inc. Profit Sharing WiUiam B and Mary D. Lich George S. Atzinger ("Oaimants"