N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Monte S. Meltzer 96-01598 Name of Respondent Ronald J. Geraci Ronald Greenspan PCM Securities Limited REPRESENTATION Claimant Monte S. Meltzer ("Claimant") appeared pro se. Respondent Ronald J. Geraci ("Geraci") did not appear at the hearing. Respondents Ronald Greenspan ("Greenspan") and PCM

- * N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James W. and Viola A. Cope 96-01596 Name of Respondents Stratton Oakmont, Inc. Biltmore Securities, Inc. J.B. Oxford & Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 12, 1996, Claimants James W, and Viola A. Cope ("Claimants"), who appeared Pro Se, alleged that

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Donna L. Brennan 96-01593 Name of Respondents ^< ~First Albany Corporation Northeast Brokerage Services Corporation Bruce Heines REPRESENTATION For claimant Donna L. Brennan ("claimant") appeared Frances Farber-Walter, Esq. of die law" firm of Deutsch Resnick Savits Green & Kiernan located in Hackensack, New Jersey. ^ For respondents First Albany Corporation (

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) William R. Hatch Arbitration No. 96-01571 Name of Respondent(s) Raymond James & Associates, Inc. RE PRE S ENTATION For Claimant: Irving M. Einhorn, Esq., Einhorn & Edgerton, Los Angeles, California For Respondent: John N. Critchlow, Esq., Raymond James & Associates, Inc., St. Petersburg, Florida CASE INFORMATION

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Alan Bernstein Sparkle Car Wash, Inc. Case No. 96-01569 Name of Respondents Lee B. Spahn Chesapeake Securities Research Corp. REPRESENTATION Claimants Sparkle Car Wash, Inc.("Sparkle Car Wash") and Alan Bernstein ("Bernstein") were represented by Paul N. Sameth and Jeffrey M. Orenstein of Adelberg, Ru

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Herman Horn, Vivian Horn, and the Herman Horn Living Trust, (Claimants) vs. Harland Financial Services Corp., Securities America, Inc., and Jeffrey Levy, (Respondents) Case Number: 01-02036 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Herman Horn ("H. Horn"), Vivian Horn ("V. Horn"), and the Herman Horn Living Trust ("Horn Trust"), hereinafter collectiv

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00787 Hisako Rooney, claimant vs. Mony Securities/ respondent ATTORNEYS: Claimant Hisako Rooney, appeared through Charles W. Austin, Jr., Esq., Richmond VA Respondent, Mony Securities, appeared through John A. Bender, Jr., Esq., of the firm of—- Weiss, Jensen, Ellis & Howard, Seattle WA DA jEFiLED: February 22, 2QOC CASE SUMMARY: Claimant alleged that Respondent provided unsuitable

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Doris Scott Huggins Name of Respondent A.G. Edwards & Sons, Inc. REPRESENTATION 96-01568 Claimant Doris Scott Huggins ("Claimant") was represented by Brian A. Carlis, Esq. and John E. MacDonald, Esq., Stark & Stark, Philadelphia, PA. Respondent A.G. Edwards & Sons, Inc. ("Respondent") was represented by Phyllis A. Hartrich,

NASD REGULATION, INC. AWARD Case No, 96-01564 In the Matter of the Arbitration Between Name of Claimant Marjorie H. Steger vs. Names of Respondents Janney Montgomery Scott, Inc. Melvin Kahn REPRESENTATION For Claimant Marjorie H. Steger ("Claimant") appeared Donald G. McGrath, Esq. of the law firm Falk & Siemer, LLP located in Buffalo, New York. For Respondents Janney Montgomery Scott, Inc. ("Janney Montgomery") and Melvin Kahn ("Kah

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. 96-01562 96-03623 In the Matter of the Arbitration Between Name of Claimant Krikor Naccachian Name of Respondent ArnSouth Investment Services, Inc. In the Matter of the Arbitration Between Name of Claimant AmSouth Investment Services, Inc. Name of Respondent Krikor Naccachian REPRESENTATION For Krikor Naccachian ("Naccachian"), Claimant and