AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Louis F. Romeo 96-01331 Names of Respondents A.G. Edwards & Sons, Inc. Benjamin H. Johnson, Jr. REPRESENTATION For Claimant Louis F. Romeo ("Romeo"): Delmer C. Gowing m, Esq. of Delmer C. Gowing III, P.A., Delray Beach, Florida. For Respondents A.G. Edwards & Sons, Inc. ("AGE") and Benjamin H. Johnson, Jr. ("Joh

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Bertram J. Wong, as Trustee of the Bertram J. Wong Trust 96-01326 Name of Respondent Douglas Wayne Osborne CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on March 26, 1996, claimant Bertram J. Wong, as Trustee of the Bertram J. Wong Trust ("Claimant

N.A.S.D. AWARD In the Matter of the Arbitration Between Name of Claimant Paul A. Sherman Trustee/Sherco Ret. Plan 96-01323 Name of Respondents Merrill, Lynch, Pierce, Fenner & Smith, Inc. Lawrence J. Haertel Kenneth C. Mulreed CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 25, 1996, Claimant Paul A. Sherman as Trustee for the Sherco Retirement Plan ("Claimant"), who appeared Pro Se, alleg

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Andrejs Zvenjnieks 96-01319 Name of Respondents Renaissance Financial Securities Corp. Daniel Higgins RKPRRSFNTATTON Claimant Andrejs Zvejnieks ("Claimant") appeared Pro Se. For Respondent Renaissance Financial Securities Corp. ("Renaissance") appeared Roger Schwartz. Esq. of the law offices of Roger J. Schwartz located in

09/17/2003 11:48 FAX NASD 1^002/005 Award NASD Dispute Resolution, Inc. In the Matter of tiwj Arbitration Between: ; j i David A. Nelson, els Trustee for the Bettys K, Sopher Trust, (Claimant) v. and Vanguard Marketing Corporation d/b/a Vanguard Brokerage Services, (Respondent) Case Number 01-dll92 ' Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant David A. Nelson, as Trustee for the Bettye K, Sopher Trust (""N

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Names of Claimants Jeanette Friedman Edria Wilt Christopher Wilt 96-01318 Names of Respondents Prudential Securities, Inc. REPRESENTATION For Claimants Jeanette Friedman ("Friedman"), Edria Wilt ("E. Wilt") and Christoper Wilt ("C. Wilt"), hereinafter collectively referred to as "Claimants/ appeared Marianna E. Specter. Esq. of the firm Duff

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Fred J. Vollmer Josephine J, Vollmer 96-01317 Name of Respondents Paul Eberz Associates, Inc. Paul M. Eberz Investacorp, Inc. CASE SUMMARY In a claim Hied with the National Association of Securities Dealers Regulation, Inc. on March 25, 1996, claimants Fred J. Vollmer and Josephine J. Vollmer ("claimants") through thei

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Manuel C. and Lucille Pragana (Claimants) vs. USLife Equity Sales Corp, Gary Ferone, First Hanover Securities, Inc. (nka LCP Capital Corp.), Salvatore A. Martorano (Respondents); and USLife Equity Sales Corp. (Cross-Claimant) vs. First Hanover Securities, Inc. (nka LCP Capital Corp.) and Salvatore A. Martorano (Cross-Respondents) Case Number: 96-01316 MASTER CASE Hearing Site: New York, N

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Louis J. Ventura, (Claimant) vs. PaineWebber, Inc., (Respondent) Case Number: 96-01312 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Louis J. Ventura, hereinafter referred to as "Claimant* 1 : James A. Batson, Esq., Liddle & Robinson, New York, NY. Respondent, PaineWebber, Inc., hereinafter referred to as "Respondent": Martin D. Edel, Esq., Miller & Wrubel

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Milan L. Obradovich 96-01311 » Name of Respondent Fidelity Brokerage Services, Inc. REPRESENTATION For Claimant Milan L. Obradavich ("Claimant") appeared Terrence P. Tormey, Esq., Hazlet, New Jersey. For Respondent Fidelity Brokerage Services, Inc. ("Respondent") appeared Michael G, Shannon, Esq. of Phillips, Lytle, Hitchcock,