N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Stanley and Joan Karasick and Bette Ann Leventhal 95-05123 Name of Respondent Denise Brooke Bedingfield CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 30, 1995, Claimants Stanley and Joan Karasick and Bette Anne Leventhal ("Claimants"), alleged that Respondent Denise Brooke B

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Simmons Pump Stock Bonus Trust, Claimant, and No. 95-05121 Smith Barney Shearson, Inc., and Hutchison Financial Group, Respondents, REPRESENTATION OF PARTIES Claimant Simmons Pump Stock Bonus Trust was represented by Barry Kirschner, Esquire, of Raven, Kirschner & Norell, P.C., located in Tucson, Arizona. Respondent Smith Barney Shearson, Inc. w

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Curtis Smay and Joyce Smay, Claimants, v. No. 95-05119 A.G. Edwards & Sons, Inc., Advest, Inc., and William E. Cromwell, Respondents. REPRESENTATION OF PARTIES Claimants Curtis Smay and Joyce Smay were represented by Bruce D. Aukerman, Esquire, of Mann Chancy Johnson Goodwin & Williams, located in Terre Haute, Indiana. Respondents A.G. E

NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Randall Lindberg, Anthony Cheverez, Robert Pelio, Scott Shaffer, Eric Lyon, Thomas Holly, Michael Roberts, Thomas Jordan, Kodjo Gassou, Michael Winnick, Andrew Palumbo, Shandal Von Wood, Matthew Ernst, Scott Lask; Craig Nilsen, Albert Copperstone, Chris Zafiroff, 95-05106 Stephen F. Molinari, and George Stinson Name of Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Merrill Lynch Pierce Fenner & Smith Inc 95-05104 Name of Respondent Paul V. Grannan REPRESENTATION For Claimant, Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch"): Andrew Quigley, Esq. of Merrill Lynch, New York, New York. For Respondent, Paul V. Grannan ("Grannan"): Stanley T. Padgett, Esq. of Smith, Williams & B

NASD Regulation, Inc. AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants) Fahnestock & Co., Inc. 95-05101 Name of Respondentf s) Brian Patrick Smith REPRESENTATION Claimant Fahnestock & Co., Inc. ("Fahnestock") was represented by James S. Telepman, Esq. of Levine, Frank & Edgar, P.A., Palm Beach Gardens, Florida. Respondent Brian Patrick Smith was represented by Martin Gofberg of Securities Arbitration

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stanley Katz 95-05095 Name of Beacon Securities, Inc. Gary Lewis Donahue Karen Sue Billings Andrew Howard Cohen Jeffrey Streich REPRESENTATION For claimant Stanley Katz ("claimant") appeared Berthold H. Hoeniger, Esq. located in New York, New York. For respondent Karen Sue Billings ("Billings") appeared Leon B.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mary Jane and Gregory C. Moody 95-05081 Olde Discount Corporation Curtis S. Dahl REPRESENTATION For Claimants, Mary Jane and Gregory C. Moody ("Moody"): K. Michael Swann, Esq. of Snyderburn, Rishoi & Swann, Winter Park, Florida. For Respondent, Olde Discount Corporation ("Olde"): Lisa S. Fildes, Esq., Corporate Counsel for

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Audrey HolHs Name of Respondent Prudential Securities Inc. 95-05079 REPRESENTATION For Claimant Audrey Hollis ("Hollis"), Seth E. Lipner, Esq. of the law firm Deutsch & Lipner, located in Garden City, New York. For Respondent Prudential Securities Inc. ("Prudential"), Arthur Baumgartner, Esq. of Prudential, located in New Y

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven A. Brody Trust, Steven A. Brody Profit Sharing Plan, and Steven A. Brody IRA, Claimants v. First Union Securities, Inc. and Scott B. McVeigh, Respondents Case Number: 01-01090 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California For Respondents: Bruce Lewitas, Esq.