N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jay Rosoff, D.D.S. and Paula Rosoff 94-00432 Name of Respondents and Third-Party Claimants The First Boston Corporation Mark J. McAvoy Name of Third-Party Respondent Jay L. Vodofsky REPRESENTATION For Claimants, Jay Rosoff, D.D.S. and Paula Rosoff ("Rosoff"): John R. Kiefner, Jr., Esq. of Riden, Earle & Kiefner, P.A.,

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Charles E. Schwall 94-00429 Name of Respondents Chatfield Dean & Co., Inc.; James E. Coath REPRESENTATION OF PARTIES For Claimant: Charles E. Schwall ("Schwall") was represented by John S. Stoppelman, Esq., located in McLean, Virginia, For Respondents: Chatfield Dean & Co., Inc. ("Chatfield") was represented by Christa D.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants GKN Securities Corp. 94-00425 Name of Respondents Atsushi Uchida CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1994, Claimant GKN Securities Corp., through its in-house counsel {Catherine Nathan, Esq., New York, New York, alleged that Respondent Atsushi Uchida was em

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ricky Curtis 94-00424 Name of Respondents Prudential Securities Inc Paul Arthur Robinson REPRESENTATION The Claimant appeared pro se. Respondent, Prudential-Bache Securities, Inc., was represented by Donald Littlefield, Esq., Corporate Counsel, Prudential-Bache Securities, Inc., located in New York, New York. Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants GKN Securities Corp. 94-00422 Name of Respondents Charles Stile CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1994, Claimant GKN Securities Corp., through its in-house counsel Katherine Nathan, Esq., New York, New York, alleged that Respondent Charles Stile commenced

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp. 94-00421 Name of Respondent Barrie Albert CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 3, 1994, Claimant GKN Securities Corp., through its representative, and in-house counsel, Katherine Nathan, Esq., alleged that Respondent Barrie Albeit, railed to rep

I I ! N.A.S.D. AWARD NASD Regulation, -Inc, Oflfcg of Dispute Resolution j In the Matter of the Arbitration Between j Name of Claimant Cesar Ernesto Balbin j I 94-00420 ! of Respondents Fidelity Brokerage Services, Inc. Robert Jenkins For Claimant; Stephen Murphy, Esq. of Pino & Dicks, Longwood, Florida. For Respondents: Keith Olio, Esq. of Morgan, Lewis & Bockius. Miami, Florida. CA Statement of Claim filed: January IS,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Henry K. Saunders Trust, H. Reed Saunders Rachel 6. Saunders H. Reed & Rachel G. Saunders Craig A. Saunders 94-00247 Name of Respondent Noreen B. Davidson REPRESENTATION For Claimants Henry K. Saunders Trust, H. Reed Saunders Rachel G. Saunders, H. Reed & Rachel G. Saunders, and Craig A. Saunders (collectively "Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: J.P. Turner & Company, L.L.C. (Claimant) v. Nicholas J. LaRosa and Dean Esposito (Respondents). Case Number: 01-02934 Hearing Site: New York City, New York Nature of the Dispute: Member v. Associated Persons REPRESENTATION OF PARTIES Claimant J.P. Turner & Company, L.L.C. hereinafter referred to as "Claimant": Dianne Papierniak, Esq., In-house counsel for J.P. Turner & Company,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Boyd A. Cecil 94-00244 Name of Respondents Robert Todd Financial Corp. Frank Jack Zangara CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 24, 1994, Claimant Boyd A. Cecil, who appeared Pro Se, alleged that Respondent Frank Jack Zangara of the Respondent firm Robert Todd Financial Corp. has not