N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Robert A. Norton, Jr. Name of Respondentfs) Fahnestock & Co., Inc. Ronald A. Riescher 93-01136 G tfitiofial Association of Securities Dealers, Inc. - 1995 All Rights Reserved 6/95- REPRESENTATION For Claimant, Robert A. Norton, Jr. ("Norton"), A. Thomas Hoadley of Hoadley and Noska; P.A., West Palm Be

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Names of Claimants Charley H. and Nedra L. Clayton and NASD Case Number 93-01119 Name of Respondent Prudential Securities, Inc. REPRESENTATION OF PARTIES Charley H. and Nedra L. Clayton ("Claimant") were represented by James D. Jameson, Esq. of Vic Fields & Associates located in Austin, TX. Prudential Securities, Inc. ("Respondent") was repre

Award NASD Dispute Resolution In the-Matter -of -the Arbitration Between: Name of the Claimant James Marcus Edwards Name nf the Donaldson Lufkin & Jenrerte Securities, Christopher Moses Silver, Robert Fear, Jr., Gareth Evans, Maria L. Minguez, and Sands Brothers & Company, LTD 01-02573 Hearing Site- Raleigh, North Carolina KKPRFSFNTATTON OF PARTTF.S Claimant James Marcus Edwards, hereinafter referred to as "Claimant", was represe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Maria Stein 93-01095 Name of Respondent Alex Brown & Sons Incorporated REPRESENTATION For Claimant Maria Stein ("Claimant"): Linda M. Schuett, Esq. of the law firm of Blum, Yumkas, Mailman, Gutman & Denick, P.A., Baltimore, Maryland. For Respondent Alex Brown & Sons, Inc. ("Respondent"): Richard J. Hafets, Esq. and Deborah

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs') Martin A. Berger DSG, Inc. Profit Sharing Trust Ron R. McDonald Phyllis Weiser 93-01045 Name of Respondent^} Raymond, James & Associates, Inc. Robert Dressier Francis S. Godbold Thomas A. James Jeffrey P. Julien Ronald L. Miller Robert McKown, Jr. REPRESENTATION For Claimants: Robert H. McKnight,

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants Ferdinand A. Neidhardt and Erich Hoepfer v. 93-01029 Names of Respondents Oppenheimer & Co., Inc., Stephen R. DeSimone, Friedrich Herriing, Gerard Biemer, Ursula Herriing, Euro-American Funding, Inc. (a/k/a Europaische Finunzerings, Inc.), and Bonus Finanzierungsvermittlung Ursula Herriing GmbH REPRESENTATION For Claimants Ferdinand A. Neidhardt and Erich

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Charles and Lavella Moore and 93-01001 Name of Respondent Kinlaw Securities Corp. Joe D. Kinlaw REPRESENTATION OF PARTIES Charles and Lavella Moore ("Claimants") were represented by Charles M. Hamilton, Esq., Law Offices of H. Dawson French, Dallas, TX. Kinlaw Securities Corp. ("Respondent KSC") and Joe D. Kinlaw ("Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants ^CEmanuel and Company Paragon Capital Corporation 93-00991 Name of Respondent Oscar Gruss & Son, Inc. REPRESENTATION For Claimant Paragon Capital Corporation: Michelle D. Wessel of Paragon Capitol Corporation, New York, New York. For Claimant Emanuel and Company: Mark J. Astarita, Esq., New York, New York. For Responde

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. and 93-00978 Name of Respondent Daniel Arsenault REPRESENTATION OF PARTIES PaineWebber, Inc. ("Claimant") was represented by Joseph A. Vallo, Esq., PaineWebber, Inc., Miami, Florida. Daniel Arsenault ("Respondent") appeared pro se. CASE INFORMATION The Statement of Claim was filed on or about March 1

I'm N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name °f Claimants Edward C. Evenson Harriet N. Evenson NASD Arbitration Evenson Revocable Trust No. 93-00971 vs. Name sf Res Shearson Lehman Hutton, Inc. Bateman Eichler, Hill Richards, Inc. Kemper Securities, Inc. John Brickley REPRESENTATION For Claimants: Craig L. Judson Esq., - Bold, Poisner, Maddow, Nelson & Judso