t 1 In the Matter of the Arbitration Between Name of Claimant Leo D. Beitner 96-04576 Name of Respondents Herzog, Heine, Geduid, Inc. Greenway Capital Corporation Mayer Amsel Harvey Wacht Aaron Brandwein National Financial Services Corporation REPRESENTATION For Claimant Leo D. Beitner ("Claimant") appeared Jerome Olitt of Arbitration and Mediation Specialists, Inc. with offices located in Stamford, Connecticut. For Respo

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) Harold Gladstone, Trustee for the Harold Gladstone Trust v. Arbitration No. 96-04573 Name of Respondents) Financial Information Centers Jerry L. Mathis REPRESENTATION For Claimant: Scot D. Bernstein, Esq. , - _ . _ _ ......_.___.____^__ Sacramento, California For Respondent Financial Information Center

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael J. Derivan IRA, (Claimant) vs. First Union Securities, Inc. and Jonathan P. Gottlieb, (Respondents) Case Number: 01-02170 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Michael J. Derivan IRA, hereinafter referred to as "Claimant": Jonathan J. Klein, Esq., a sole practitioner, Bridgeport, CT. Respondents, First Union Securities, Inc. ("FUS") a

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Prudential Securities Incorporated Claimant, and No. 96-04572 Miguel Anibal Mi II an, III Respondent. REPRESENTATION OF PARTIES Claimant, Prudential Securities Incorporated ("PSI") was represented by: David S. Sterttngggsg^fideniid Secunti bakef& Botts in Houston, Texas. ;: i .r»kc'r.«& Bou? in Houston; : I Respondent* Miguel Anibal

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant's) Anthony Alvarado Lorraine Alvarado v. Arbitration No. 96-04571 Name of Respondents) The Trading Desk, Inc. Jerry Manning For Claimants: Scot Bernstein, Esq., Sacramento, California. >JvUbJ^;^f^^i^^ , Esq;, Slivka; obirison,Waters- Colorado. CASE INFORMATION Statement of Claim filed on October 14, 1996.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04562 Sidney & Bernice Davis, claimants v. State Street Capital Markets Corp., respondent. ATTORNEYS: Claimants appeared Pro Se., Hollywood, FL. For Respondent Respondent appeared Pro Se through John Doukas - New York, NY. DATE FILED: October 14, 1996. CASE SUMMARY: Claimants alleged respondents failed to follow instructions in the sale of warrants and

Q NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between ^ DEC t U 1957 Name of Claimant i : L A.\^s ; < t, , JW Charles Clearing Corp. 96-04561 Name of Respondent Vincent W. Butkevrts, 111 REPRESENTATION OF PARTIES For Claimant JW Charles Clearing Corp. ("JWC"): QregoryTendrich. Charles Clearing Corp,, Boca Raton, FL n^nes For Respondent Vincent W. Butkevfts, III ("VB"): L Van Stillm

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant David L. Lanter 96-04560 Name of Respondent H.J. Meyers & Co., Inc. REPRESENTATION For Claimant: Dan Brecher, Esq. and Eric Ross, Esq.. Fischbein, Badillo, Wagner. Harding. New York. NY For Respondent: James C. Cosby, Esq., Maloney, Huennekens, Parks, Gecker & Parsons, Richmond, VA CASE INFORMATION' Statement of Claim filed: October 14, 1996 •••

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Estate of Howard G. Brown 96-04559 Name of Respondents A.G. Edwards & Sons, Inc. John F. Golden REPRESENTATION For claimant Estate of Howard G. Brown ("claimant") appeared John R. Blake, offices Bowditch & Dewey located in Worcester, Massachusetts. F Xcolctively "fesporkie^) ^pearecT ^Villiam S. Port, Esq., Associate Vice Litigation Counsel for A.C. Edwar

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Steven Conner 96-04557 Name of Respondent Bidwell & Company CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on October 14, 1996, claimant Steven Conner ("claimant"), who appeared Pro Se, alleged that respondent Bidwell & Company ("Bidwell") violated federal law by hol