AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Wilbert Life Insurance Company and Grace Cemetery Association Perpetual Care Corp., Claimants, v. No. 96-01458 Trading Desk, Inc., Traders and Dealers, Inc., Jerry W Maiming, James H. Beckemcyer, and Trading Desk of Memphis, Inc., Respondents. REPRESENTATION OF PARTIES Claimants Wilbert Life Insurance Company and Grace Cemetery Associati

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Bruce W. Young and 96-01455 Name of Respondent Everen Securities, Inc., f/k/a Kemper Securities, Inc. REPRESENTATION OF PARTIES Bruce W. Young ("Claimant") was represented by Michael Salcido, Esq., Phoenix, Arizona. Everen Securities, Inc., f/k/a Kemper Securities, Inc. ("Respondent") was represented by Don Andrews, Esq., Ev

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Marc Weitzel, Josephine Weitzel and Wilbur Weitzel and Case Number 96-01454 Names of Respondents FirsTier Securities, Inc. n/k/a FBS Investment Services, Inc. and Jeffrey Einfalt Claimants Marc Weitzel, Josephine Weatzel and Wilbur Weitzel were represented by Terrance S. DeWald, Esquire of Koley, Jessen, Daubman &

NASDR AWARD NASD REGULATION. INC.. DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants George A. Hurley Lois M. Hurley NASDR Arbitration Sharon M. Hurley #96-01447 Sandra M. Hurley vs. Name of Respondent Wedbush Morgan Securities Inc. REPRESENTATION For Claimants: Patricia A. Shub, Esq., Fort Lauderdale, Florida For Respondent: Michael C. Licosati, Esq., Keesal, Young & Logan, Long Beach, California CASE

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter oi the Arbitration Between Name of Claimant Michael Francis v. Arbitration No. 96-01446 Name of Respondents George Klepacki: Barren Chase Securities, Inc.: Hanifen ImhoiT Clearing Corporation REPRESENTATION For Claimant: T. Randolph Catancse. Esq. Calanese £ Wells Wcstlakc. California For Respondent Eugene Michael Kennedy. Esq. Law Office of Eugene Michael Ke

I ' RUG. 2.2004 3 = 24PM NPSD DISPUTE RESOLUTION NO.783 P.I •i l N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Alfred Hein Helen Hein Cynthia Stavrakis 96-01445 Name of Respondents Mark Splicer MCC Securities Inc. POT Claimants: Jonathan L. Alpeit, Esq. and Gregory J, Blackburn, Esq. of Alpert, Barker & Calcutt, P. A., Tampa, Florida. For Respondents: John R.

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Gregory F. & Kathleen K. Blessing Case No. vs. 96-01444 Name of Respondent Steven Morgan REPRESENTATION Claimants, Gregory F. Blessing and Kathleen K. Blessing ("Claimants") were not represented by counsel and are located in Wellington, Connecticut. Respondent, Steven Morgan ("Respondent"), was not represented by counsel and is located in Brielle,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward J. Crenshaw 96-01443 Name of Respondents Commonwealth Associates Richard Galterio REPRESENTATION For Claimant, Crenshaw, appeared Gerald B. Kline, Esq, a sole practitioner located Atlanta, GA. For Respondents Commonwealth Associates ("Commonwealth") and Richard Galterio ("Galterio") appeared J. P, Wilson, Esq. in hou

N.A.S.D. REGULATION AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Peter S, Bruckel 96-01439 Name of Respondents Sterling Foster Investment Bankers Robert Pratt REPRESENTATION For Claimant Peter S. Bruckel ("claimant") appeared Frank H, Lloyd Jr., Esq. of The Williams Law Offices located in Pittsford, New York. For Respondents Sterling Foster Investment Bankers and Robert Pratt ("respondents"

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard Hoefer, Claimant v. Bane of America Securities, LLC, Respondent Case Number: 01-02018 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Michael Q. Eagan, Esq. Michael T. Welch, Esq. William J. Stafford, Esq. Law Offices of Michael Q. Eagan San Francisco, California For Respondent: Peter R. Boutin, Esq. Kelly J. Moynihan, Es