t 1 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lindy Lovern Thomas 95-05420 Name of Respondent Olde Discount Corporation REPRESENTATION For Claimant: Guy M. Burns, Esq. of the law firm of Johnson, Blakely, Pope, Bokor, Ruppel & Burns, P.A., Tampa, Florida, For Respondent: Ronald P. Kane, Esq. of the law firm of Gomberg Kane & Fischer, Ltd., Chicago, Illinois

'N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Etnil & Sue Massetti 95-05412 Name of Respondents Invest Financial Corp. Chemical Investment Service Corporation Anthony J. Calabrese REPRESENTATION For Claimants Emil & Sue Massetti ("Claimants"), appeared Adolph D. Seltzer, Esq., located in New York, New York. For Respondents Invest Financial Corp. ("Invest") and An

1, 1 2 3 4 5 ft \f 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 BEFORE THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration ) Between ) WILLIAM B. SAVAGE and BEATRICE S.) No. 95-05402 SAVAGE, as Joint Tenants and as ) Trustees of the William B. and ) Beatrice S. Savage Family Trust, ) ) ARBITRAT

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Summit International Trading and Investment Corporation vs. Case No. 95-05394 Name of Respondents Prudential Securities, Inc. Ronald Doria REPRESENTATION For Claimant Summit International Trading and Investment Corporation ("Claimant") appeared Douglas E. Grover, Esq. of Grover & Bloch, located in New York, New York. For Respondent Prudential Securi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard Dinsmore, (Claimant) vs. Robert W. Baird & Co. Incorporated and Michael Acampora, (Respondents) Case Number: 01-01100 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Richard D. Dinsmore ("Claimant"): Randy Scott Zelin, Esq., Randy Scott Zeiin, PC, Westbury, NY. Respondent, Robert W. Baird & Co. Incorporated ("Baird") and Michael Acampora ("

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frank J. Lanza 95-05391 Name of Respondents Steven Hamm J.W. Barclay & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 13, 1995, Claimant Frank J. Lanza ("Claimant"), who appeared Pro Se, alleged that Respondents J.W. Barclay & Co., Inc., and Steve Hamm ("Hamm"),

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Bernard Kupfershmid Case No. vs. 95-05386 Name of Respondents Gruntal & Co., Inc. Maurice A, Gross, Jr. REPRESENTATION For Claimant, Bernard Kupfershmid ("Claimant") Susan L. Donegan, Esq. located in Boston, Massachusetts. For Respondents, Gruntal & Co, Inc. ("Gruntal") and Maurice A. Gross, Jr. ("Gross") (collectively "Respondents") Harry D. Fr

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Theresa, Gary & Deborah Heller 95-05382 Name of Respondents VFS Securities Douglas Penning All Financial Service REPRESENTATION For claimants Theresa, Gary & Deborah Heller ("claimants") appeared Howard Kurtzberg, Esq. with law offices located in Jericho, New York. Respondent VFS Securities ("VFS") did not enter an appearance in this matter. For responde

- N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Gerard and Maureen McWeeny 95-05367 Name of Respondents Commonwealth Associates Scott Oilman REPRESENTATION Claimants Gerard and Maureen McWeeny ("Claimants") appeared pro se. For Respondents Commonwealth Associates ("Commonwealth") and Scott Gilman ("Gilman") appeared J. P. Wilson, Esq. in-house counsel at Commonwealth

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between _ __ - Marvin Topic, Claimant, and No. 95-05364 Joseph Roberts & Co., Inc., Respondent. Claimant Marvin Topic ("Claimant") was represented by Anthony V. Trogan, Jr., Esq. of Weisman, Trogan, Young & Schloss, P.C., located in Bingham Farms, Michigan. Respondent Joseph Roberts & Co., Inc. ("Respondent") was represented in pleadings by David A. Gen