AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between John H .Sparkman, Esq. Claimant, v. No.96-01308 . Rimson & Co., Inc., and Elliot Fishman, Respondents. REPRESENTATION OF PARTIES Claimant John H.Sparkman, Esq. was represented pro se. Respondent M. Rimson & Co., Inc. was not represented in any pleadings or at the hearing in this matter. ^ Respondent Elliot Fishman was not represented in

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name pf Claimant DGW Services, Inc. 96-01307 Name of Respondent Equity Services Inc. Stephen A. Englese REPRESENTATION For claimant DGW Services, Inc. ("claimant") appeared Floyd Brown, Esq.. of the law firm of Brown and Pearson, P.C., located in Carlsbad, California. For respondents Equity Services, Inc. ("ES

N.A.S.D. AWARD In the Matter of the Arbitration Between Name of Claimant(s) Robert E. & Peggy L. Muldrow 96-01306 Name of Respondent(s) World Invest Corporation Michael Hardman REPRESENTATION For Claimants Robert and Peggy Muldrow ("the Muldrows"): Floyd Brown, Esq. of Brown & Pearson, P. C., Carlsbad, CA. For Respondent World Invest Corporation ("World Invest"): William Sumner Scott, Esq. of The Scott Law Firm, Hollywood, FL. Willia

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Sharon Robinett v. Name of Respondents Croweil, Weedon, & Co. and Ronald Van Der Veen NASD Arbitration No.96-01301 REPRESENTATION For Claimant: For Respondent Croweil, Weedon & Co.: For Respondent Ronald Van Der Veen: CASE INFORMATION Statement of Claim filed: Claimant's Submission Agreement signed:

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Philip D. Fox 96-01298 Name of Respondent D.E. Frey & Company. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 25, 1996, Claimant Philip D. Fox ("Claimant"), who appeared Pro Se, alleged that in November of 1993, Respondent D.E. Frey & Company, Inc. ("Respondent") recommende

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant John A. Vani & Catherine A. Vani, Trust and 01-01191 Chicago, Illinois Name of Respondents Gruntal & Co., L.L.C. James H. Cox, m Jodi A. Reed Henry D. Gottmann Robert P. Rittereiser Nature of the Dispute: Customer vs. Terminated Member and Associated Persons REPRESENTATION OF PARTIES John A. Vani & Catherine A. Vani, Trust ("Vani") was rep

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between The Estate of Laura Neef, by Allen Neef, Personal Representative, Claimant, No. 96-01297 Arnold Fiscilli, James Parrelly, and Hamilton Investments, Respondents. REPRESENTATION OF PARTIES Claimant The Estate of Laura Neef, by Allen Neef, Personal Representative ("Claimant") was represented by Walter L. Baumgardner, Esq. of Musiili, Baumgardne

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Allen Sternbert* Claimant, and No. 96-01296 The Marriman Group, Inc., and Scott Follett Respondents. REPRESENTATION OF PARTIES Claimant, Allen Sternberg, was represented by David A. Tucker, Esquire and Thomas N. Eckerle, Esquire of Johnson Smith Pence Densborn Wright & Heath located in Indianapolis, IN. Respondents, The Harriman Group, Inc. and-

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. IN THE MATTER OF THE ARBITRATION BETWEEN EVEREN SECURITIES, INC., ) ) Claimant, ) ) No. 96-01295 v. ) ) STEVE P. COLLOP, ) ) Respondent. ) REPRESENTATION OF PARTIES For Claimant Everen Securities, Inc.: Diane C. Fischer of Gomberg Kane & Fischer, Ltd., Chicago, Illinois. For Respondent Steve P. Collop: No appearance for Respondent at hearing. CASE INFOR

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Daniel A. North, Claimant, and Monroe Parker Securities, Inc., John P. Clancy, and Richard S. Schneider, Respondents. No. 96-01285 REPRESENTATION OF PARTIES Claimant Daniel A. North was represented by Ronald Cohen, Esquire of Cohen & Small, located in Houston, Texas. Respondents Monroe Parker Securities, Inc., John P. Clancy, and Richard S.