NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Vidal and Maria Vieira vs. Case No. 95-02118 Name of Respondents American Bond Group Leonard Kamerman Aleksandr Shvarts Westfield Financial Corp. (and its successor in interest, Robert Todd Financial Corp.) REPRESENTATION For Claimants Vidal and Maria Vieira (collectively "Claimants") appeared Paul J. Endler, Esq. of the law firm Garrubo &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard D. Romanski 95-02112 Name of Respondents James A. Rornanosky A.J. Michaels & Co., Ltd. CASE SUMMARY : In a claim filed with the National Association of Securities Dealers, Inc. on May 1, 1995, Claimant Richard D. Romanski ("Romanski"), who appeared Pro Se, alleged that Respondent James A. Romanslcy ("Romansky"), of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name pf Claimant Jerome Spevack Case Number 95-02100 Name of Respondents Cartwright & Walker Securities, Inc. Scoville Walker REPRESENTATION For Claimant Jerome Spevack (hereinafter referred to as "claimant") appeared Anthony J. Horn, Esq., Philadelphia, Pennsylvania. Respondent Cartwright & Walker Securities, Inc. and respondent Scoville W

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stifel, Nicolaus & Company, Incorporated 95-02098 Name of Respondent Brian S. Eckstrom REPRESENTATION For Claimant: Stifel, Nicolaus & Company, Incorporated ("Stifel") was represented by Michael J. Runzi, Esq. of Stifel, Nicolaus & Company, Incorporated, located in St. Louis, Missouri. For Respondent: Brian S. Eckstrom ("Eckstr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Francis L. Arthur and Linda Arthur 95-02097 Name of Respondent; Olde Discount Corporation Stan Thomas REPRESENTATION Claimants Francis L. Arthur and Linda Arthur ("claimants") appeared pro se. For respondents Olde Discount Corporation ("Olde") and Stan Thomas ("Thomas") appeared Karen L. Brink, Esq., Corporate Attorney of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant The Chan Trust, Jerry Yuen Chan, Trustee 95-02094 Name of Respondents Piper Jaffray, Inc. Penny Chin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 2, 1995, Claimant The Chan Trust, Jerry Yuen Chan, Trustee, who appeared Pro Se, alleged that Respondents Piper Jaffray, Inc. ("P

N.A.S.D. AWARD « NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hamilton Investments, Inc. vs. 95-02091 Name of Respondent Jeffrey S. Olsen REPRESENTATION Claimant, Hamilton Investments, Inc. ("Hamilton") was represented by Steven Gomberg, Esq. of Gomberg Kane & Fischer of Chicago, Illinois. Respondent, Jeffrey S. Olson ("Olson"), was represented by Steven Rau, Esq. of Minneapolis,

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between nf r*lafmmt Vernon G. Butler Case No. 01-01902 Michael S. McGeehan, William Keats Nicoll and Merrill Lynch, Pierce, Fenner & Smith Inc. OP Claimant Vernon G. Butler ("Claimant") was represented by Mark C. Hayes, Esq. of the law firm of Carter, Fullerton & Hayes, LLC, Alexandria, Virginia. Respondents Michael S. McGeehan ("McGeehan"), William Keats Nicoll

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Victoria L. Holmes 95-02084 Name of Respondents S.G. Warburg & Co. Stephen Berthold Feid REPRESENTATION For Claimant, Victoria L. Holmes ("Claimant") appeared Clinton W. Calhoun, III, Esq. of the law firm Birccetti & Calhoun located in White Plains, New York. For Respondents, S.G. Warburg & Co. ("Warburg") and Stephen Berthold Feid

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS » * ' In the Matter of the Arbitration Between Name of PaineWebber. Inc. 95-02081 Name of Respondent Robert Kelly REPRESENTATION For Claimant, PaineWebber, Inc., Stephanie Morse-Sharnosh, Esq., in-house counsel for PaineWebber, Inc. located in Weehawken, New Jersey. Respondent, Robert Kelly, did not appear at the evidentiary hearing conducted in this matter. CASE INFORMATION