AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Bradford O. Martell, and Nadine Martell, Claimants, and No. 96-05671 Norfolk Securities, Inc., Rondo Hosang, Jeffrey Van Blarcom, and Ian Hosang, Respondents. REPRESENTATION OF PARTIES Claimants Bradford O. Martell and Nadine Martell ("Claimants") were represented by Joel H. Kaufman, Esq. of Farmington Hills, Michigan. Respondent

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Everen Securities* Inc., (Claimant) vs. Kevin C. O'Dowd and Jeffery G. O'Dowd, (Respondents) Case Number: 96-05669/05673 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Everen Securities, Inc., hereinafter referred to as "Claimant": Ronald P. Kane, Esq., Gomberg Kane & Fischer, Ltd., Chicago, IL. Respondents. Kevin C. O'Dowd and Jeffery G. O'Dowd, hereinafter collec

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Stephen A. Drake 96-05667 Names of Respondents Nationwide Securities Corporation David Lavender REPRESENTATION Claimant Stephen A. Drake appeared pro se. Respondent Nationwide Securities Corporation ("Nationwide") did not appear (see "Other Issues"). Respondent David Lavender ("Lavender") was represented by

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Larry G. and Lauren S. Deigh 96-05663 Name of Respondents Cressida Capital Corp. (aka Norfolk Securities) Rondo O. Hosang Ian Richard Hosang REPRESENTATION Claimants Larry G. and Lauren S. Deigh ("Claimants 1 ') were represented by Larry G. Deigh, who appeared pro se. Respondents Ron

/MX. N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05661 Neil P. Young, claimant vs. A.S. Goldmen & Co. Inc., Joseph Falco and Michael Cilmi. respondents. ATTORNEYS: Claimant appeared Pro Se, Mill Valley, CA For Respondent A.S. Goldmen & Co. Inc., appeared Carole R. Bernstein, Esq., Norwalk, CT. Respondent Joseph Falco appeared Pro Se, Staten Island, NY Respondent Michael Cilmi appeared Pro Se, So

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf th^riaimant r.nse Number- 01-01405 Mildred S. Mann Names of thft Respondents Hearing Site; Philadelphia, PA Lance E. Slater First Union Securities, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. RFPRF.SF.NTATfON OF PAKTTF.S Claimant, Mildred S. Mann, hereinafter referred to as "Claimant", was represented by Stephen H. Berkowitz, Esq., Moore & B

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-05660 Celia W. Andrews, claimant vs. LaCroix Alexander Financial Corp., respondent. ATTORNEYS: Claimant appeared Pro Se, Cincinnati, OH. For Respondent LaCroix Alexander Financial Corp. appeared Dan R. Waller, Esq., of the law firm Secore & Waller, L.L.P., Dallas TX. DATE FILED: December 23, 1996 CASE SUMMARY: Claimant alleged misrepresentation in connecti

N.A.S.D, REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Gary ilgenfriiz 96-05659 Name^pf Respondent^ Quesrron Securities. Inc. Sam E. Harris REPRESENTATION Claimant Gary llgenfritz ("Claimant') was represented by Jonathan H. Colrnan. Esq., Paoli, PA. Respondents Questron Securities. Inc. ("Question") and Sam E. Harris ("Harris') did not appear. CASE I

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-05656 Elaine Weiner, claimant v. Kevin'Mahon and Marsh, Block & Co., Inc., respondents. ATTORNEYS: For Claimant Claimant appeared pro se - Bronxville, NY. • Respondent Kevin Mahon appeared pro se - New York, NY. For respondent Marsh, Block & Co., Inc. appeared David W. Parsons, Esq. - New York, NY. DATE FILED: December 20, 1996. CASE SUMMARY: Claim

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant J.W. Charles Securities, Inc. 96-05654 Name of Respondent Andrew Kevlahan REPRESENTATION For Claimant J.W. Charles Securities, Inc. ("claimant") appeared Gregory Tendricb, Esq. in-house counsel for J.W. Charles Securities, Inc. Respondent Andrew Kevlahan ("respondent") appeared pro se. CASE INFORMATION The Statement of Claim was filed on December 16, 1996.