AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of (Claimant Miles Price 95-04789 Name of Respondent ©National, Howe Barnes Investment, Inc. REPRESENTATION M Wghis Rc^ -^ For Claimant: Miles Price ("Price") was represented by Timothy 0. Dudley, Esq. of Little Rock:, Arkansas. • For Respondent: Howe Barnes Investment, Inc. was represented by Randall B. Gold,iEsqi ; ;C

%fOQ £& AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Yuanzhen long, Claimant, < D National Association of Securities Dealers. Inc. *- * 1996 All Rights Reserved v. No. 95-04788 AAA Stockbrokers, Inc., and Peter Fusung Wu, Respondents. REPRESENTATION OF PARTIES Claimant Yuanzhen Tong was represented by J. Brantley Sanders, Esquire of The Barbknecht Firm locate

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Edith M. Gunn 95-04782 Name of Respondents Daniel R. Masiello Arthur E. DeLorenzo.. IDS Financial Services Inc. a/k/a American Express Financial Advisors, Inc. REPRESENTATION Claimant Edith M. Gunn ("Gunn") appeared pro se. Respondents >DanielR. Masiello ("Masiello,"), Arthur E. DeLorenzo ("D

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name pf Claimant Bourgeois Construction Inc. Profit Plan o Respondent 95-04779 Smith Barney Shearson, inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 10, 1995 Claimant Bourgeois Construction Inc. Profit Sharing Plan ("Claimant"), through its representative Ron Bourgeois ("Bourgeois"), who

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number 01-01993 Thomas and Susan Descano Name of the Respondent^ Hearing Site- Philadelphia, Pennsylvania Janney Montgomery Scott, LLC, James J. Coyne, and Christopher J. Munafo REPRESENTATION OF PARTIES Claimants Thomas M. Descano and Susan A. Descano, hereinafter collectively referred to as "Claimants", were represented by Nicholas J. Guilian

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Loretta Young 95-04772 Name of Respondent Prudential Securities, Inc. William Frank Edmond, [[[ CASE SUMMARY tn a claim filed with the National Association of Securities Dealers, Inc. on October 10, 1995, Claimant Loretta Young ("Claimant"), who appeared Pro Se, alleged that Respondent Prudential Securities, Inc. ("Prudenti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In (.he Matter of the Arbitration Between Name of Claimant William F. Terrill 95-04770 Name of Respondents The Robinson-Humphrey Company, Inc. T. Scott Watkins In a claim filed with the National Association of Securities Dealers, Inc. on October 10, 1995, Claimant ' William F. Terrill ("Claimant"); who appeared Pro Se^ alleged that Respondent The Robinson-HtimphreyF Company, Inc. ("RH

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant David A. Boetcher, M.D. 95-04763 Name of Respondents Ferris, Baker Watts, Inc. Lloyd Victor Seested REPRESENTATION Claimant Robert H. Boetcher ("Claimant") was represented by Charles B. Wayne, Esq. of the law firm of Schwalb, Donnefield, Bray & Silbert, Washington, D.C.. Respondent Ferris, Baker Watts, Inc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Halpert, Oberst and Company Name of Respondent Jason C. Foote © National Association i Securities Deal- All Rights Reserved 95-04759 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 9, 1995, Claimant Halpert, Oberst and Company ("Claimant") through its representative and

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant James Nellis Case No. vs. 95-04758 Name of Respondents D. Blech&Co., Inc. David Blech REPRESENTATION For Claimant, James Nellis ("Claimant"), Howard Hertz, Esq., from the law firm of Hertz, Schram & Saretsky, P.C. located in Bloomfield Hills, Michigan. For Respondents, D. Blech & Co., Inc. ("D. Blech") and David Blech ("Blech") (collectively "Re