Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven J. Lynch and Jane E. Fontaine (Claimants) v. Berry-Shino Securities, Inc., Wayne Richardson (Respondents) v. William J. Muenckler (Third-party Respondent) Case Number: 01-02242 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person vs. Associated Person REPRESENTATION OF PARTIES Claimants, Steven J. Lynch ("Lynch") and Jane E. Fonta

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Donald Fay and Mary Fay (Claimants) vs American Investment Services, Inc., Torin Greenspan, William Cutrone, Lawrence J. Penna, Herman Epstein, Vincent Grieco, Douglas Mangan, and Vision Global, Inc. (Respondents) Case Number: 96-05328 HearinqSite: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Donald Fay and Mary Fay ("Fay"): Ronald Amato, Eccleston and Associates, Chicago,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Eileen Janes and 96-05326 Name of Respondent Sentra Securities Corporation Michael J. Irwin REPRESENTATION OF PARTIES Eileen Janes ("Claimant") was represented by Thomas D. Birge, Esq. and Cathryri B. Mayers,' Esq., Birge & Mayers, P.C., Denver, Colorado. u :'; rge & \ L Sentra Securities Corporation ("Respondent Sentra") an

M.A.5J>. AWARD K&SD Regulation, Inc. Office of Dispute Resototioo la to Matter of the Arbitration Between Tibwon, ftc. 9W5320 of Respondents Euro-Atlantic Securities, Inc. Michael Payne REPRESENTATION For Claimant: Rolf M, Baghdady, FA., Columbia, South Carolina. For Rfispondeot Bpra-Aflanlfc Securities, Inc. ("Euro-Atlantic 1 '): Mich** H. Forme, E*q, of the law firm of Laopert A Umpetct, E&qs.» New York, New Yoric until his withdra

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-05315 William F. Dennis, claimant v. C. David Hughes and D. Scott Hogewood, respondents. ATTORNEYS: For Claimant Claimant appeared Pro Se - Long Beach, NY. For Respondent David Hughes appeared John S. Arrowood - Charlotte, NC. Respondent D. Scott Hogewood appeared Pro Se - Charlotte, NC. DATE FILED: November 29, 1996. CASE SUMMARY: Claimant alleged mis

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant The Hilda E. Dickey Trust 96-05311 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Brian K. Beckwith REPRESENTATION Claimant The Hilda E. Dickey Trust ("Claimant") was represented by David R. Dickey, Arlington, VA. Respondents Merrill Lynch Pierce Fenner & Smith, Inc. ("MLPFS") and Bria

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Gregory S. Parsons Central Carolina ENT Center PA Profit Sharing Plan Central Carolina Ear, Nose, Throat and Audiology Center 96-05310 Nanpe o^ Respondents Kensington Wells Incorporated EliasTacher SalTacbcr Adam Drew Levy ,: r; D-; L Marc A. Luxenberg : •' " : Stephen Voraea - REPRESENTATION For Claimants Gregoiy S. Parsons ("Parsons"), the Cent

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Timothy G. Shands 96-05308 J. B. Oxford & Company James Galido REPRESENTATION For Claimant Timothy G. Shands ("Claimant") appeared J. Pat Sadler, Esq., of the law firm, Sadler and Associates, P.C. located in Atlanta, Georgia. For Respondents J. B. Oxford & Company ("IBO"), and James Galido ("GaUdo"), (collectively, "Responde

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants John B. Kellenyi David S. Chao Case No. 96-05306 Names of Respondents Commodities Corporation, Limited Hamilton Partners, Limited REPRESENTATION For Claimants John B. Kellenyi ("Kellenyi") and David S. Chao ("Chao") (collectively referred to as "Claimants") appeared M. Christine Carry, Esq. and Benjamin P. Deutsch, Esq. of the law firm Schnader Ha

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Lawrence Group Partners, L.P. 96-05304 Name of Respondents Euro-Atlantic Securities, Inc. Brett Hamburger Joseph Blumenthal REPRESENTATION For claimant Lawrence Group Partners, L.P. ("claimant") appeared its representative Thomas J. McCabe, Esq. a sole practitioner located in New York, New York.