NASD REGULATION, INC. AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Dr. David J. Elbaum & Sherry F. Elbaum as Trustees of the Dr. David J. Elbaum Profit Sharing Trust U/A/D 12/23/88 and U/A/D 7/24/93 FBO Dr. David J. and Sherry F. Elbaum v. Name of Respondents Smith Barney, Inc., Lance A. Horton and Jeffrey Glover Arbitration No. 95-05922 For Claimants: For Respon

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant David A. Wojcik, and 95-05915 Name of Respondents Aetna Life Insurance & Annuity Company; Edward F. Bacher; Edward F. Sommer; Douglas K. Lincoln; Fem Shakelford. REPRESENTATION OF PARTIES For Claimant: Claimant David A. Wojcik ("Wojcik") was represented by Steven B. Varick, Esq. of McBride Baker & Coles in Chicago, I

NASD, Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between James P. and Marcela C. Ledesma Claimants NASD Regulation, Inc. v. No. 95-05905 Sentra Securities Corporation Christopher A. Pratt Respondents REPRESENTATION OF PARTIES James P. and Marcela C. Ledesma ("Claimant") represented themselves pro se. Sentra Securities Corporation and Christopher A. Pratt ("Respondents") were represented by John P. Cio

NASD REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert L. & Ruth A. Skiera, JTWROS 95-05904 Name of Respondent Smith Barney Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on December 19, 1995, claimants, Robert L. & Ruth A. Skiera and JTWROS ("claimants") who appeared Pro Se, alleged that on November 12, 1

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Charles Samuel Neas and 95-05889 Name of Respondent PrimeVest Financial Services, Inc. Stephens, Inc. -- Synovous Securities, Inc. First Citizens Bank of Cleveland REPRESENTATION OF PARTIES Charles Samuel Neas ("Claimant") was represented by John E. Lawlor, Esq., Mineola, New York. PrimeVest Financial Services, Inc. ("Re

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Rober* T Weigand Claimant, v. Case No. 95-05887 Olde Discount Corporation and Jeffrey Wild Respondent. REPRESENTATION OF PARTIES Claimant Robert J. Weigand ("Claimant") did not appear at the hearing and was unrepresented. Claimant was previously represented by Lawrence M. Elkus, Esq. and Joseph H. Spiegel, Esq. both of Southfield, Mi

AWARD NASD Regulation. Inc. In the matter of the Arbitration Between Name of Claimant(s) Christian V. Ekberg Arbitration No. 95-05886 Name of Respondent fsi Smith Barney Inc. REPRESENTATION For Claimant: John R. Kiefner, Jr., Esq. and Clifford J. Hunt, Esq., Riden, Earle & Kiefner, P.A., St. Petersburg, Florida For Respondent: Sean J. Coughlin, Esq. and Marcie S. Mintz, Esq., Smith Barney Inc., New York, New York CASE INFORMATION

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Precision Associates, Inc. and 95-05884 Name of Respondent Gruntal & Co., Inc. Darwin Martinez REPRESENTATION OF PARTIES Precision Associates, Inc. ("Claimant") was represented by Sidney J. Spaeth, Esq., Faegre & Benson, P.L.L.P., Minneapolis, Minnesota, Gruntal & Co., Inc. ("Respondent Gruntal") and Darwin Martinez ("Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants L.Patrick Furlong and Valley Retail Service 95-05870 Name of Respondent Dean Witter Reynolds Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 15, 1995, Claimants L. Patrick Furlong and Valley Retail Service ("Claimant"), who appeared Pro Se, alleged that Respondent Dean W

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Anita and Leonard Falk Name of Respondent PaineWebber, Inc. Michael Sandberg Case Number: 01-01115 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Anita and Leonard Falk, hereinafter also referred to as "Claimants": Albert A. Rapoport, Esq., Boca Raton, Florida. For PaineWebber, Inc. ("PaineWebber") and Michael Sandberg ( t4