NASD REGULATION, INC. AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Prosper Amsellem v. Name of Respondent Charles Schwab & Co., Inc. Arbitration No. 96-02116 For Claimant: For Respondent: Statement of Claim filed: REPRESENTATION Jonathan W. Evans, Esq. Attorney at Law Los Angeles, California Mark T. Drooks, Esq. Bird, Marella, Boxer, Wolpert &

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Richard Vasquez and Josephine Ruppert v. NASD Regulation, Inc. Arbitration No. 96-02113 Name of Respondents W.J. Gallagher & Company, Inc. Harry Gliksman, and Nils Angert REPRESENTATION For Claimants: Jonathan W. Evans, Esq. Law Offices of Jonathan W. Evans Los Angeles, California For Respondents W.

N.A.S.D. REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Jacquelyn Moultrie 96-02109 Name of Respondent The Dreyfus Service Corporation REPRESENTATION For Claimant Jacquelyn Moultrie ("Claimant") appeared Horatius A. Green, Esq. of the law firm of Winkler, Bevacqua & Simmons, RC, located in Newark, New Jersey. For Respondent The Dreyfus Service Corporation ("Dreyfus") appeared Bar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Darrell Moore 96-02105 Name of Respondents Nationwide Securities Corp. Thomas Deceglie Thomas DeSimone Shannon Johnson CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on May 15, 19% claimant Darrell Moore ("claimant") who appeared Pro Se, alleged that respondents Nationwide

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-02104 Raleigh Amesbury, claimant v. Kevin T. Ducie, respondents. ATTORNEYS: For Claimant Claimant appeared pro se - Centerville, MA. For Respondent appeared Edward W. Larkin, Esq., New York, NY. DATE FILED: 5/15/96 CASE SUMMARY: Claimant alleged: Unauthorized transaction and failure to execute orders for the sale of bonds and conduct in violation of NA

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Eugene R. Emery 96-02103 Name of Respondent Paul V. Herman REPRESENTATION For Claimant Eugene R. Etneiy ("claimant") appeared Alfred J.T. Rubega, Esq., with law offices in Concord, New Hampshire. Respondent Paul V. Herman ("respondent") appeared pro se. CASE INFORMATION Statement of Claim was filed on

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Patrick Tidalgo and Jessica Dillon 96-02099 Name of Respondent Waterhouse Securities Inc, REPRESENTATION For claimants Patrick Tidalgo ("Tidalgo") and Jessica Dillon ("Dillon"), (collectively "claimants") appeared Morgan W. Bentley, Esq., located in Newark. New Jersey. For respondent, Waterhouse Securities Inc., (" Waterhouse 11

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Plpi'mant Pa^N'mb* 1 " 01-02080 John M. Plank offof 1 T?< *gporKlf v nfo HfHiring ?it p ' Washington, DC Richard T. Barney Fiserv Investor Services, Inc. Rendelle A. Yzer Yu-Dee Chang Chesapeake Investment Services, Inc. RFPRF^f IVTATTrVNr OI7 fARTTf S Claimant, John M. Plank, hereinafter referred to as "Claimant": John P. Connolly, Esq

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION » In the Matter of the Arbitration Between f Claimant Arie Seidler 96-02098 Name of Respondents Commonwealth Associates William Burke REPRESENTATION For Claimant Arie Seidler ("Claimant") appeared John E. Lawlor, Esq., a sole practitioner located in Mineola> NY. For Respondents Commonwealth Associates ("Commonwealth") and William Burke ("Burke") appeared their representativ

1 ' NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Diana Yuen 96-02097 Name of Respondents Fidelity Brokerage Services, Inc. Leonard Stecklow REPRESENTATION For claimant Diana Yuen ("claimant") appeared Robert K. Walsh, Esq., of the law offices of Bashwiner and Woods, located in Cedar Grove, New Jersey. For respondents Fidelity Brokerage Services, Inc. ("Fidelity") and Leonard Stecklow ( rt St