• i£ AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Michael C. Brenner, Claimant, v. No. 95-04424 PaineWebber Incorporated; William VanHoegarden, 4 Nation-iiA *•--»• Respondents. AJJ Rights Raservec REPRESENTATION OF PARTIES For Claimant: Michael C. Brenner ("Brenner") was represented by Mark Hellner, Esq.-of Chicago;! Illinois. ; Fbr Respondents: Paine Webber, Incorporat

\0|) N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. 1-. , «l In the Matter of the Arbitration Between Name of Claimant Hugh C. Montgomery 95-04415 Name of Respondents 3\Smith Barney Shearson, Inc. Mercer Securities Ltd. Stephen J. Schappell Mercer Securities, Inc. REPRESENTATION Claimant Hugh C. Montgomery ("Claimant") was represented by Merritt A. Cole, Esq. and Michael J. Taichman

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Robert S. Lawton 95-04413 Name of Respondents Smith Barney Shearson, Inc. Mercer Securities Ltd. Mercer Securities Inc. Steven Schappell REPRESENTATION Claimant Robert S. Lawton ("Claimant") was represented by Merrit A. Cole, Esq. and Michael J. Taichman Robins, Esq., Dilworth, Paxson, Kalish

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Coastal Securities LTD, Claimant, and Mowell Financial Group, Inc., Respondent. No. 95-04412 Consolidated with: In the Matter of the Arbitration Between Ellington Mortgage Partners, LP, Claimant, and Raymond James & Associates, Inc., Respondent and Third-Party Claimant, and Waterside Development Co., and James P. Sche

NASD REGULATION. INC.. OFFICE OP DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Paul Campbell C & M Fence Campbell Family Credit Trust Arbitration No. 95-04410 Name of Respondent(s) John F. Doyle * Thomas G. Chenoweth , -^ REPRESENTATION For Claimants: Gary S. Baum, Esq., Cardiff-by-the-Sea/ Caliio^nia For Respondent John F. Doyle: John J. Thornton, Esq., Quincy, Massachusetts For Respondent T

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hill, Thompson, Magid & Co., Inc. CASE NO. v. 95-04398 Name of Respondents U.S. Clearing Corp. Sharpe Capital Inc. Judith Ann Payer William F. Kirincich For Respondent, Sharpe'Caplhcf Sharpe 1 '), Jacob Zamansky, Esq. of Singer, Bienstock|&amansk^ v Ogele & Seiengut located in New York, New York. Oseie £ S^n

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Herbert C. Deesen 95-04396 Name of Respondent K. Aufhauser & Co CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 14, 1995, Claimant Herbert C. Deesen ("Claimant"), who appeared Pro Se, alleged that Respondent K. Aufhauser & Co. ("Respondent"), induced him to open^an account wi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Louis Schoenberger 95-04392 Name of Respondent Beacon Securities, Inc. Gary L. Donahue Gus Geldman REPRESENTATION Claimant Louis Schoenberger ("Claimant") was represented by Michael F. Bachner, Esq. and David A. Gehn, Esq., New York, NY. Respondent Beacon Securities, Inc. ("Beacon") did not appear. Respondent Gary L

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between PRUDENTIAL SECURITIES INCORPORATED, © National Association of Securities DCS*" Claimant, ^^ JQQ^ -and- No. 95^04382 M ^^ Resttve a RONALD L. GROSS Respondent. REPRESENTATION OF PARTIES For Claimant: Prudential Securities Incorporated was represented by Steven P. Gomberg, Esq., Gomberg Kane & Fischer, Ltd., 208 South LaSalle St

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Deborah Brower, (Claimant) vs. Hollencrest Securities, LLC and Robert Wolford, (Respondents) Case Number: 01-01966 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Deborah Brower, hereinafter referred to as "Claimant": Eva H. Posman, Esq., a sole practitioner, New York, NY. Respondents, Hollencrest Securities, LLC ("Hollencrest") and Robert Wolford ("Wolford"),