N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Roy E. and Stella F. Tower 93-03636 Name of Respondents Olde Discount Corporation David B. Ammerman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 16,1993, Claimants Roy E. and Stella F. Tower, who appeared Pro Se, alleged that Respondent Olde Discount Corporation, thro

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Narnp of Claimant Willis Stan- Case No. 93-03635 Name of Respondent First of Philadelphia Investment Group, Inc. REPRESENTATION For Claimant, Willis Starr ("Starr"): pro-se. For Respondent, First of Philadelphia Investment Group, Inc., ("FPIG"): J. Paul Boyle Chief Executive Officer of FPIG. CASE INFORMATION Statement of Claim filed: Se

N.A.S~.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Karoi E. Kacprzak 93-03632 Name of Respondents J.W. Gant and Associates, Inc. Hanifen, Imhoff Inc. REPRESENTATION Claimant Karol R. Kacprzak ("Claimant") represented himself. Claimant did not attend the hearing on April 13, 1994. Respondent J.W. Gant and Associates, Inc. ("Gam") did not appear and is no longer doing bu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, TNC. In the matter of the Arbitration Between of Caimant Gloria N. Zwinak NASD Arbitration No. 93-03627 N,arfle of Respondents Merrill Lynch, Pierce Fenner & Smith, Inc. Steven Fillingim June Nugata Buslepp Ken Cadaratte REPRESENTATION For Claimant: Rodney W. Wickers, Esq. - Torrance, California For Respondents: Michael J. Abbott and Glenn J. Dickinson, Esq. - Jones, Bell

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant City of Englewood 93-03625 Name of Respondents Murchison Investment Bankers, Ltd. Kenneth Schulte REPRESENTATION For Claimant City of Englewood ("Claimant") appeared Michael P. McNamec, Esq. qf Buren, Turner & McNamee located in Dayton, OH. For Respondents Murchison Investment Bankers, Ltd. ("Murchison") and Kenneth Sch

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Merrill Lynch Pierce Fenner & Smith Inc. and 01-02740 Nashville, Tennessee Name of Respondents Linsco/Private Ledger Corp. Jonathan P. Bednar William R. Cagle Nature of the Dispute: Member vs. Member and Associated Persons REPRESENTATION OF PARTIES Merrill Lynch Pierce Fenner & Smith Inc. ("Claimant") was represented by Susan M. Guerett

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard C, Berliner 93-03731 Name of Respondents David A. Noyes & Company, and Frank S. Colin REPRESENTATION OF PARTIES Claimant Richard C. Berliner ("Berliner") was represented at the hearing by Dennis C. Waldon, Esq. of Lavin & Waldon, P.C., of Chicago, Illinois. Respondents David A. Noyes & Company ("David A. Noyes") and

NASD REGULATION, INC. AWARD NASD'REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant John Harty 95-03726 Name of Respondents Bancomer Securities International Inc. Casa De Bolsa Bancomer. S.A. REPRESENTATION For Claimant, John Harty, ("claimant") appeared Marshall H. Fishman, Esq. of the law firm Rosenman & Colin located in New York, New York and substitute counsel for Lloyd R. Schwed, Esq. of the law firm Hertz, S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lisette Alcalay 93-03703 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc REPRESENTATION For claimant Lisette Alcalay ("claimant") appeared Donald F. Schneider, Esq. of Feltman Karesh Major & Farbman, New York, New York. For respondent Merrill Lynch Pierce Fenner & Smith ("respondent") appeared Brian F. Amery, Esq

0 m N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAL] In the Matter of the Arbitration Between Name of Claimantfs) The Pershing Division,of Donaldson, Lufkin & Jenrette Securities Corporation 93-03699 Name of Respondents') Peter N. Lioubin REPRESENTATION Claimant, The Pershing Division of Donaldson, Lufkin & Jenrette Securities Corporation ("Pershing") was represented by David J. Campbell, Esq. of Pershing. Respondent,