N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert Fanner 95-02013 Name of Respondents Smith Barney Shearson, Inc. Philip R. Console, Jr. REPRESENTATION For Claimant, Robert Fanner ("Fanner"): Michael A. Hanzman and Michael E. Criden of Hanzman Criden Korge Hertzberg & Chaykin, Miami, Florida. For Respondents, Smith Barney Shearson, Inc, ("SBSI") and Philip R. Consol

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants Terrence F. and Jaclyn L. Mascarenhas 95-02010 Names of Respondents Josephthal Lyon & Ross, Inc. Jim D, Poncha REPRESENTATION For Claimants Terrence F. Mascarenhas and Jaclyn L. Mascarenhas ("Claimants") appeared Robert A. Roseman, Esq. of the law firm Pillai & Roseman, located in New YoiJc, New York. For Respondent Josephthal Lyon & Ross, Inc. ("Josephth

STIPULATED AWARD BEFORE THE NASD ARBITRATION PANEL James Leroy Phillips and ) Louise Pace Phillips, ) Claimants, ) vs. ) 95-02006 Marion Bass Securities ; Corporation, Raymond James ) & Associates, Inc., and ) American Wealth Management, ) Respondents. ) CONSENT JUDGMENT American Wealth Management, Inc. ("American Wealth") , having filed a third party complaint against Thomas Rushton Baker ("Baker") in this arbitration, and the p

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Matthew and Susan Brennan 92-01654 Name pf Respondents Shearson Lehman Brothers, Inc. Theresa Thompson Robert Fox REPRESENTATION Claimants Matthew and Susan Brennan appeared at the hearing without counsel. For Respondents, Shearson Lehman Brothers, Inc. ("SLB"), Theresa Thompson ("Thompson") and Robert Fox ("Fox"), Pau

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rashid Abdu Inc. Profit Sharing Plan & Trust, Rashid & Joan Abdu, Trustees Rashid A. & Joan Abdu 92-01653 Name of Respondents The Ohio Company Howard Lewis REPRESENTATION For Claimants Rashid Abdu Inc. Profit Sharing Plan & Trust, Rashid & Joan Abdu, Trustees and Rashid A. & Joan Abdu ("Claimants"): Charles E. Dunlap,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Mark Appei, Alan Appel & Hera Appei 92-01652 Name of Respondents) Stracton Oakmont, Inc. Brian Scanlan Brian Herman Jordon Belfort REPRESENTATION For Claimant: Paul E. Schofield, Esq. of Siebel, Whippie and Schofield, Chicago, Illinois. Claimant Mark Appei appeared on behalf of the remaining claimants. For Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sandra A. LoMonaco 92-01651 Name of Respondent Olde Discount Corporation; CEFCU Financial Services/Credit Union Brokerage Services REPRESENTATION For Claimant: Sandra A. LoMonaco was represented by Salvatore LoMonaco. For Respondents: Olde Discount Corporation and CEFCU Financial Services/Credit Union Brokerage Services was

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George Weinstein 92-01637 Name of Respondents Jeffrey Brooks Securities Inc. National Financial Services Corp. REPRESENTATION The claimant George Weinstein, appeared at the hearing without counsel. For Respondent, Jeffrey Brook Securities ("JBS") Barry Bohrer Esq. from the law firm of Morvillo Abramowitz Grand lason et. al.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/Counter-Respondem Shearson Lehman Brothers, Inc. 92-01633 Name of Respondcnts/Counter-Claimani Joseph Mayer; Sandra Mayer REPRESENTATION For Claimant/Counter-Respondent: Shearson Lehman Brothers, Inc. was represented by Jerry M. Santangelo, Esq. of Neai, Gerber & Eisenberg, located in Chicago, Illinois. For Respondents/Coun

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Weil (Claimant) v. Montrose Capital Management, LTD., Alexander, Wescott and Co., Inc., David Jacaruso, John Telfer, Joseph Scotti, Robert Winston, and Epifanio Almodovar (Respondents) Case Number: 01-01886 Hearing Site: New York, New York Nature of the Dispute: Customer v. Terminated Members and Associated Persons. REPRESENTATION OF PARTIES Claimant James Weil ("Weil") he