N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gilford Securities, Inc. 95-03874 Name of Respondent James DiAngelo CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 10, 1995, Claimant, Gilford Securities, Inc., through its in-house representative, Larry Wachler, alleged that Respondent James DiAngelo has failed to repay a note

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Albert and Gladys Miller 95-03872 Name of Respondents) Michael L. Veit Dianne A. Harden Vincent Mongno J. Gregory & Coompany, Inc. REPRESENTATION For Claimants Albert and Gladys Miller ("the Millers"): Jack H. Halperin, Esq. of the law office of Jack H. Halperin, New York, NY. For Respondent Michael Veit ("Veit")

N.A.S.D. MODIFIED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between David Selin 95-03866 Name of Respondents Lee Blackwell Chatfield Dean & Co., Inc. REPRESENTATION For Claimant David Selin ("Selin"): Alan Grunspan, Esq. of Kaufman Miller Dickstein & Grunspan P.A., Miami, Fi. For Respondents Lee Blackweli ("Blackwell") and Chatfield Dean & Co., Inc. ("Chatfield"): Christa Taylor, Esq. of Chat

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jeffrey S. Whitney Claimant NASD Arbitration v. No. 95-03856 Financial West Group James W. Anderson Respondents REPRESENTATION OF PARTIES Jeffrey S. Whitney ("Claimant") represented himself, pro se. Financial West Group and James W. Anderson ("Respondents") were represented by H. Thomas Fehn, Fields Fehn & Sherwin, Los Angeles, California

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard and Cynthia Dolsey Name of Respondents Smith Barney Shearson, Inc. Jan Deborah MIchelson 95-03854 REPRESENTATION For Claimants, Richard and Cynthia Dolsey ("the Dolseys"): Margaret Brodsky, Esq., of Miami, Florida. For Respondents, Smith Barney, Inc. ("Smith Barney") and Jan Deborah Michelson ("Michelson"): Lin

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Holly Kitagawa and 01-01935 Denver, Colorado Name of Respondent Fidelity Brokerage Services REPRESENTATION OF PARTIES Holly Kitagawa ("Claimant") was represented by Alvin Chua, Esq., Law Offices of Alvin Chua, located in Denver, Colorado. Fidelity Brokerage Services ("Respondent") was represented by Brian H. Newman, Esq., Orrick, Herrington

NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Ernesta Badolato and Marian Badolato 95-03852 Names of Respondents J. W. Charles Securities, Inc. Discount Securities Group Ted Malkasian REPRESENTATION OF PARTIES For Claimants: David A. Pear!, Esq. and Francis S. Sexton, Jr., Esq. of the law firm of Concepcion, Sexton & Urdaneta, Coral Gables, Florida. For Respondent

N.A.S.D. AWARD J '/r 7 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant ^ xr t - , A , r ^^^^^^^^^^^^^^—— < y National Association ol „ , „, _. -. „ Securities Dealers, Inc Paul Stepanoff, as Trustee for Rostislaw Stepanoff Trust All Rights Reserved 95-03847 Name of Respondents John Hosier Chelsea Street Securities, Inc. REPRESENTATION Claimant Pau

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Mark D'Andrea Dino D'Andrea CASE NO. 95-03845 Name of Respondents Paine Webber, Inc. Smith Barney, Inc. (f/k/a Smith Barney Shearson, Inc.) Mercer Securities Stephen J. Schappell Richard T. Carlin Richard Allen Connell Correspondence Services Corporation REPRESENTATION Claimants Mark a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Sheila B. Friedman 95-03842 Name of Respondents Investex Securities Group, Inc. and Frank Somma REPRESENTATION Claimant, Sheila B. Friedman appeared pro se. For Respondents, Frank Somma, President of Investex Securities Group, Inc., New York, NY CASE INFORMATION Statement of Claim filed: August 8, 1995 Claimant's Submis