N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Suburban Radiology Associates, P.C., Saraswathe K. Golla, Trustee 95-04719 Name of Respondent ViJay R. Basani REPRESENTATION Claimant Suburban Radiology Associates, P.C. ("Claimant") was represented by David H. Zimmer, Esq., Potomac, MD. Respondent ViJay R. Basani ("Respondent") did not appear. CAS

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mitchell J. and Rita Sabagh 95-04716 V ."iJ of Respondents Timothy D. Henry Ferris, Baker Watts, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 5, 1995 Claimants Mitchell J. and Rita Sabagh ("Claimants"),. through their representative Jeffrey P. Bloom,; iEsq,, Of -;-.,>

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Tony O. Miceli and Ann Lucchesi 95-04715 Name of Respondent Charles Schwab & Company, Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers, Inc. on October 5, 1995, claimants Tony O. Miceli and Ann Lucchesi ("claimants"), who appeared Pro Se, alleged that respondent Charles Schwab & Co., Inc ("

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Louis Pat Tiers, Jr., Trustee; and L. P. Tiers Family Trust, Claimant, v. No. 95-04711 Smith Barney, Inc., and Shawn Welch, Respondents. REPRESENTATION OF PARTIES Louis Pat Tiers, Jr., Trustee; and L.P, Tiers Family Trust ("Claimant") was represented by^ Robert - D. Mitchell, Esq., Scottsdale, Arizona. .X Muckdl r : c; ScoHbd

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Paolo Mauro Traveni Claimant NASD Arbitration v. No. 95-04709 Discount Brokers J.B. Oxford & Company, Inc.' *' Nniionaj ^^, oti "CeurpMe '•» i " Respondents ~ s lA:a te. inc. REPRESENTATION OF PARTIES Paolo Mauro Traveni ("Claimant") represented himself, pro se. National Discount Brokers ("Respondent") was represent^d.by David

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Meir Padel 95-04704 Name of Respondent(s) Eric Ellenhorn CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 4, 1995 Claimant Meir Padel, through his counsel, Ron Z. Ofeck, Esq., New York, NY, alleged that Respondent Eric Ellenhorn of Westtleld Financial Corp. used persistent an

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Clainianfs Dennis J. Haglan and Patricia L. Palacio 95-04703 Name of Respondent Brown and Company Securities Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 4, 1995,\Claimants: Dennis James Haglan and Patricia Lewis Palacio ("Claimants"), alleged that Respondent Brown and Co

Award NASD Dispute Resolution in the Matter 01 tne Arbitration between; Name of the Claimant Case Number: 01-01984 Barry Papa Name of the Respondent Hearing Site: Boca Raton, Florida Prudential Securities, Inc. REPRESENTATION OF PARTIES For Barry Papa ("Papa"), hereinafter referred to as "Claimant": Neil S. Baritz, Esq., Dreier Baritz & Colman, Boca Raton, Florida. For Prudential Securities, Inc. ("PSI"), hereinafter referred to as "Respondent"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rose Anne Levinson & Harriett Leavitt Award No. vs. 95-04702 Name of Respondents Linsco/Private Ledger Corp. Mark S. Winthrop REPRESENTATION laiman^^Rosfc; AtajeLey^ assisted by Gerald t£viiis6n^4usha^ 'GtatmarftXevinson^ t3aMan| ; H!arfiett LeVinso^d^d ilot appear. (Collectively "Claimite^ -vig"1 FbrrRe$r)qnde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William C. Steigerwald 95-04691 Nayne of Respondents A.S. Goldmen & Co. Charles Trento CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 3, 1995,iClaimant • William C. Steigerwald ("Claimant") who appeared Pro Se, alleged that Respondent A.S.^Goldraen*&: ?; ,i Co. ("A