N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Charles 0. Hampton Claimant, vs. Case # 93-05331 American Bond Group, Inc., Alexander Shvarts, Otra Clearing Inc., & J.B. Oxford & Co. Respondents. REPRESENTATION For Claimant, Charles Hampton, William C Morris, Esq. of the firm Morris & Morris, North Carolina and Andrew A. Strauss, Esq. of the firm Strauss & Jones, North Carolina. For

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Stephen J. Gerace 93-05329 Name of Respondents First of Phikdelphk Investment Group, Inc. J. Paul Boyle CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 23, 1993, Claimant Stephen J. Gerace, who appeared Pro Se, alleged that he was hired to execute orders by Respondent Fir

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Marie Lord and 93-05326 Name of Respondents Alex Brown & Sons, Incorporated J. Everett Airington REPRESENTATION OF PARTIES Marie Lord ("Claimant") was represented by Lawrence R. Gelber, Esq., Beigel & Sandier, New York, New York. Alex Brown & Sons, Incorporated ("Respondent Alex Brown") was represented by Daniel J. Do

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nilesh Patel, (Claimant Merrill Lynch Internati Case Number: 01-0287 vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Anil Chaturvedi, and nal Private Client Group, (Respondents) Hearing Site: New York, New York Claimant, Nilesh Patel, Ferrara, Dwyer & Speed REPRESENTATION OF PARTIES hereinafter referred to as "Claimant": Anthony J. Ferrara, Esq., Polstein, , P.C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: CVI Group, an unincorporated association consisting, in part, of Ernes Foundation, a Canadian Foundation, SLR Trust, a Canadian Trust, 1274328 Ontario, Inc., a Canadian corporation, and GAE Investments, Ltd., a Canadian limited partnership, (Claimant) vs. Bear Stearns & Co., Inc. and M.H. Meyerson & Co., Inc., (Respondents) vs. Leslie Gerendasi, Joe Lebovics, and Henry Brachfeld (

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Willis L. Winstrom, Claimant, v. No. 93-05325 R.G. Dickenson & Co. n/k/a Dickenson & Co., Respondent. REPRESENTATION OF PARTIES Willis L. Winstrom ("Claimant") was represented by Bruce Pearson from Fargo, North Dakota. On or about April 10,1995, Claimant changed his representation to Tyler B. Gaines, Esq., of Gaines, Mullen, Pausing & Hogan, Omaha, Nebraska. Respondent Dickenson &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Eileen D. Brennan 93-05324 Name of Respondents J. W. Gant & Associates, Inc., J. W. Gant, and Peter Lucina REPRESENTATION OF PARTIES Claimant Eileen D. Brennan ("Brennan") was represented at the hearing by John J. Morrison, Esq. of Chicago, Illinois. Respondent J. W. Gant & Associates, Inc. ("J. W. Gant & Associates") d

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of fte Arbitration Between Npme of Claimant Michelle G. Snyder vs. Award No. 93-05322 S.N. Fbelps & Co. Stanford Newton Phelps €> National Association of Securities Dealsis. Inc. AH Rights Reserved REPRESENTATION For Claimant, Michelle G. Snyder ("Claimant"), appeared Michael S. Press, Esq. of Nomnair Raid, P.C. located in.New York, New York. For Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Arlene McElhany 93-05320 Name of Respondents Dean Witter Reynolds Inc. Richard F. Montgomery REPRESENTATION For Claimant: Peter B. Skeei, Esquire and Swensen, Peter & Johnson. For Respondents: Dean Witter Reynolds, Inc. ("DW") and Richard Montgomery ("Montgomery") Jack B. Cobetto, Esquire and Reed, Smith & McClay. CASE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Uri Badalian 93-05030 Name of Respondents Securities Planners, Inc. Daniel Dietrich REPRESENTATION For Claimant Uri Badalian ("Claimant") appeared Allen Kramer, Esq., a sole practitioner located in New York, New York. For Respondent Securities Planners, Inc. ("Securities Planners") appeared M. David Sayid, Esq., of the law