N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald R. Berger Linda W. Berger 94-00141 Name of Respondents Gruntal & Co., Inc. David Nichols REPRESENTATION For Claimants Donald R. Berger and Linda W. Berger ("Claimants"): Allen M. Mandelbaum, Esq., of Norristown, PA. For Respondent David Nichols ("Nichols"): Evan L. Gordon, Esq. of New York, NY. For Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ronald W. Mauer 94-00138 Name of Respondent The Chicago Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 13, 1994 Claimant Ronald W. Mauer ("Claimant") who appeared Pro Se, alleged that Respondent The Chicago Corporation ("Respondent"), failed to pay for itemized exp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant The DBL Liquidating Trust, successor 94-00383 Name of Respondent Craigie, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 31, 1994, Claimant DBL Liquidating Trust, through its in-house counsel, Karen M. Cullen, Esq., alleged that Respondent Craigie,--inc. failed to pay to

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: ft r>f thft Claimant Page Nnmhra-; 01-02922 Kevin Hodgson Name of the. RespnnHents Hearing Site: Milwaukee, Wisconsin Royal Hutton Securities Corp.; Andrew R. Razzore; Jeffrey M. Schofield; and Richard Anthony Scarsella OF Claimant Kevin Hodgson was represented by J. Thomas Haley, Esq., of the firm of Haley Palmersheim, S.C., located in Middleton, Wisconsin.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sally Van Name 94-00381 Name of Respondents PaineWebber, Inc. Dan Porter CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 1, 1994, Claimant Sally Van Name, through her representative, David Liebrander, Esq., Woodland Hills, California, alleged that Respondents PaineWebber,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bijan F. Hagh 94-00380 Name of Respondent Kenneth Fiacco CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February I, 1994, Claimant Bijan F. Hagh, who appeared Pro Se, alleged that Respondent Kenneth Fiacco of the firm F.D. Roberts .Securities, Inc. violated securities industry regulat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Allan S. Lyons 94-00379 Name of Respondents Benjamin & Jerold Brokerage CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 31,-1994, claimant Allan S. Lyons, who appeared Pro Se, alleged that he opened an account with Respondent Benjamin and Jerold Brokerage, since their adve

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gilbert Belair 94-00372 of Resncnt Fidelity Investments REPRESENTATION Claimant Gilbert Belair ("Belair") was represented at the hearing by Debra G. Speyer, Esq. of Philadelphia, Pennsylvania. Respondent Fidelity Investments ("Fidelity") was represented at the hearing by Donna M. Dever, Esq. of Stradley Ronon Stevens & Youn

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rhoda K. Bailey Award # vs. 94-00371 Name of Respondent Thomas G. Wing REPRESENTATION For Claimant: Rhoda K. Bailey ("Claimant"), Joseph P. Carmichael, Esq. located in Boston, Massachusetts. For Respondent: Thomas G. Wing, ("Respondent"), Edward T. Robinson, Esq. of Seegel, Robinson & Lipshutz located in Wellesley, Mass

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant John W. Hobble 94-00367 Name of Respondents Dean Winer Reynolds Inc. Helen Dachter Stephen J. DiModica REPRESENTATION For Claimant John W. Hobble ("Hobble") appeared Daniel B. Berman, Esq., of the law offices of Hancock & Estabrook located in Syracuse, New York. For Respondents Dean Witter Reynolds Inc. ("Dean Winer"), Helen Dachter ("Dachter") and