N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mame of Claimant Dove P. Johnson 95-03699 Name of Respondent Smith Barney Shearson, Inc. CASE SUMftjARY In a claim filed with the National Association of Securities Dealers, Inc. on August 1, 1995, Claimant Dove P. Johnson ("Claimant"), who appeared Pro Se, alleged that Respondent Smith Barney Shearson, Inc. ("Respondent") failed to redeem her

. JftN. 6.1999 12:_32PM NflSD REGULATION FL NO, 770 P. 23 STIPULATED AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Futures & Options Trading, Inc. 95-03693 Names of_Respondents Prudential Securities, lac, Gary Sheperd REPRESENTATION For Claimant: Kenneth S. Sandier, Esq. of Kenneth S. Sandier, P.A., Hollywood, Florida. For Respondents Prudential Securities, Inc. ("Prudential") and Gary Sheperd ("Sh

SENT BY: 6-11-98 ; 8:29AM ;NASD ARBITRATION DPT^ 12122085165:#20/32 N.A.S.D. AWARD NATIONAL ASSnriflTIQKf QF SECURITIES DEALERS . INC. In the matter of the Arbitration Between Name of Claimant. Is) Joan Marlow Name gf Respondent: fa) Eric M. Harsh Shearson Lehman Brothers, inc. NASD Arbitration No. 95-03652 For Claimant: Kevin J. Shannon, Esq., San Francisco, California For Respondents: Alejandro Schwed, Eaq. , Smith Barney Inc., New

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') Arthur Granfar, IRA 95-03690 Fidelity Brokerage Services, Inc. Kyle P. Washington CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 1, 1995 Gaimant Arthur Granfar, who appeared Pro Se, alleged that Respondent Fidelity Brokerage Service Inc., through its registered representativ

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimant Robert Thomas Securities, Inc. 95-03685 Name of Respondent Efrain Tirade, Jr. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 1, 1995 Claimant Robert Thomas Securities. Inc., ("Claimant"), through its representative Frank Black, alleged that Respondent Efrain Tirado, Jr., ("Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Paul L. Feinberg Paul L. Feinberg KEOGH Profit Sharing Flan 95-03684 Name of Respondents Whale Securities Co., Inc. Gregory Traina REPRESENTATION For claimants Paul L. Feinberg ("Feinberg") and Paul L. Feinberg Keogh Profit Sharing Plan (collectively referred to as "claimants") appeared Martin E. Karlinsky, Esq. of Camhy K

Award NASD Dispute Resolution In the Matter of the Consolidated Cases Between: Computer Clearing Services, Inc., Claimant v. Dan Rubin, Beacon Trading, LLC, and Paul J. Benz, Respondents (01-01924) Beacon Trading, LLC, Paul J. Benz, and Christopher Benz, Claimants v. Computer Clearing Services, Inc., Respondent (01-02053) •< Consolidated Case Number: 01-01924 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Computer Clearing S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS tn the Matter of the Arbitration Between Name^of^Claimant Joel Margaretten 95-03683 Name of Respondent Bank of America Investment Services, Inc. Gary Pearson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August I, 1995, Claimant Joel Margaretten ("Claimant"), who appeared Pro Se, alleged that Respondents Bank of America Investment Servi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John Dordan Duffy 95-03681 Name of Respondents Value Investing Partners, Inc. REPRESENTATION Claimant John Dordan Duffy ("claimant") appeared pro se. For respondent Value Investing Partners, Inc. ("respondent") appeared Lawrence S. Hirsch, Esq. of Reid & Priest LLP, New York, New York. CASE INFORMATION Statement of Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Katherine Artemis Petso 95-03676 Mamc of Respondent Olde Discount Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 31, 1995, Claimant Katherine Artemis Petso ("Claimant"), who appeared Pro Se, alleged that Respondent Otde Discount Corp. ("ODC"), on March 31, 1994, sold