NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Jane M. Brenna and 95-04256 Name of Resnondent Gardner Financial Services, Inc. Peter Hermanson Lawrence Bumgardner REPRESENTATION OF Jane M. Brerma ("Claimant") was represented by Russell J. Jensen, Esq., St Paul, Minnesota. >,: Gardner Financial Services, Inc. ("Respondent Gardner"), Peter Hermanson ("Respondent Her

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Robert J. Anderson, Claimant, v. No. 95-04252 V National Association Of Olde Discount Corp., and Todd A. Bukaty, Securities Dealers, inc. Respondents. All Ricnc& Rsservec REPRESENTATION OF PARTIES Claimant Robert J. Anderson was represented by Eric L. Hanson, Esq. of Holman, McCollum & Hansen, P.C. located in Prairie Village, Kansas. Respond

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Rubye Wartell v. Name of Respondents David Weiss, Neal Stein. William J, Reininger, John Klingenmeier, Alex Kahan, and Global Strategies Group, Inc. Arbitration No. 95-04251 REPRESENTATION For Claimant: For Respondent David Weiss: For Respondent Neal Stein: For Respondent William J. Reininger. For Respon

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01962 Henry J. Bieniecki, claimant vs. A.G. Edwards & Sons, Inc. and Scott Steven Moore, respondents. ATTORNEYS; Claimant appeared Pro Se, Edwardsville, IL. For Respondents appeared Michael Naccarato, Esq., in-house counsel, St. Louis, MO. DATE FILED: April 18, 2001 CASE SUMMARY: Claimant alleged that respondent failed to properly execute a sell order of BAC stock thereby causin

AWARD \A' A NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants John J. & Theresa T. Kavorkian Case No. vs. 9544247 Name of Respondents PaineWebber, Inc. Robert Thomas Securities, Inc. Thomas Anthony Arpante Nathan & Lewis Securities Inc. For Claimants, John J. Kavorkian and Theresa T. Kavorkian ("Claimants"), David E. Shelleriberger, Esq., and Andrea Manning, Esq., located in Boston, Massachusetts. '

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Neal Scott 95-04242 Name of Respondents Emanuel & Company Eric Emanuel REPRESENTATION For Claimant Neal Scott ("Scott") appeared John E. Lawlor, Esq., a sole practitioner with offices located in Mineola, New York. Respondent Emanuel & Company ("E&C") did not enter an appearance in this matter. For Respondent Eric Emanuel ("Emanuel") appeared Ray Bec

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS [n the Matter of the Arbitration Between Name of Claimant Paul L Glass, M.D. 95-04236 Name of Respondent Marion Bass Securities Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 6, 1995, Claimant PaulJ. Glass, M.D. ("Claimant"), who appeared Pro Se, alleged that Respondent Marion Bass Securities Corporation ("MBSC") on Sep

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAUBRS in the Matter of the Arbitration Between Name of Claimant Lee Kaplan 95-04231 Name of Respondent Smith Barney Shearson, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 6, 1995 Claimant Lee Kaplan ("Claimant 1 !), who appeared Pro Se, alleged that he held account #57fr575^2 with Respondent Smith Barney Shearson, Inc., an

K.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald G. Costar 95-04229 Name of Respondents Kemper Securities, Inc. Donald A. Bernard, Sr. Donald A. Bernard, Jr. CASE SUMMARY In a claim filed with the National Association-of'Securities Dealers, Inc. on September 5,1995,1 Claimant^ ^ Donald G. Costar ("Claimant"), alleged that Respondent Kemper Securities, Inc. ("Kemt5e

^, NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. © National Association c f Securities Dealers, Inc. In the Matter of the Arbitration Between AH Rights Reserved Lee Fein Claimant NASD Arbitration v. No. 9504228 A. S. Goldman & Company Respondent REPRESENTATION OF PARTIES Lee Fein ("Claimant") was represented by Patrick N. Keegan, Esq., Krause & Kalfayan, San Diego, California. A. S. Goldman & Company ("Respo