NASD Arbitration No. 95-05076 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant (s_L L. James Newman Name of Respondent(s) Allen B. Herman Berman & Stickel, Inc. Mark S. Stickel Susette Stickel Linda Olson Mitchell Brater REPRESENTATION For Claimant: Richard Sacks and Irwin G. Stein, Investors Recovery Service, Novato, California For Respondents A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Haraid H. Fauter, M.D. and Inge Fauter as Trustee for the Haraid H. Fauter, M.D., P.A., Defined Benefit Plan & Trust 95-05075 Name of Respondents Everett Scoville Walker Kenhinde Grace Cartwright & Walker Securities Inc. Golden West Unlimited, Inc. CASE SUMMARY In a claim filed with the National Association of Secur

NASD REGULATION, INC. AWARD i OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Robert S. & Maria Fede 95-05071 Name of Respondents Sherman Ralston, Inc. Anthony Martinez REPRESENTATION For Claimants Robert S. and Maria Fede ("Fede" or collectively, "Claimants") appeared Scott M. Zucker, Esq., located in Great Neck, New York. For Respondents Sherman Ralston, Inc. ("SRI") and Anthony Martinez ("Ma

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Elizabeth Alvarado c/f Ashleigh Schroeck Name of Respondent Commonwealth Associates 95-05069 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 25, 1995, Claimant Elizabeth Alvarado c/f AshJeigh Schroeck ("Claimant"), who appeared Pro Se r alleged that Respondent Commonwe

r -.. AWARD NASD Regulation, Incorporated Office of Dispute Resolution In the Matter of Arbitration Between Arthur Bice Asbury, Jr., Claimant, and No. 95-05061 Aetna Life Ins. & Annuity Co. Respondent. REPRESENTATION OF PARTIES Claimant, Arthur Bice Asbury, Jr. ("Asbury 11 ), was represented by Cynthia N. Asbury, Esquire bfHvjr Bice Asburj Asbury & Asbury, located in Nashville, Tennessee. v^ Anbury, kx;:i-ed >u Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carl T. Coe 95-05058 Name of Respondents J. C. Bradford & Co. David W. Svete CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 25, 1995, Claimant Carl T. Coe ("Claimant"), through his representative and counsel, James E. Jasinski, Esq., of UAW-GM Legal Services Plan, located

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Serenella Arthur c/f Robert A. Signore 95-05056 Name of Respondents Smith Barney, Inc. f/k/a Shearson Lehman Brothers Stuart Kirk Eason CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 25, 1995, Claimant Serenella Arthur ("Claimant"), custodian for Robert A. Signore, through her

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Rosa M. Thomas Melynda M. Hunter v. Name of Respondents! Titan/Value Equities Group, Inc. Marilyn Blake Arbitration No. 95-05054 For Claimants: For Respondents: REPRESENTATION Steven M. Green, Esq. San Diego, California Kari S. Turigliatto, Esq. Titan/Value Equities Group, Inc. Irvine, Califor

NASDR AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between G National Association of Name of Claimant Secwilies De *" ' nc - Laurie White Pope and Case Number 95-0504^ **"» *"""" Names of Respondents AOppenheimer & Company, Incorporated ::L:, r: , and Charles Hurst . Laurie White Pope ("Clamant") was represented.'by Charles b/Poweli, Esquire BrowmJ?arker& ^eahy, L.L.P^from

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-01088 Paul A. Greco and Carmella M. Greco, claimants vs. Richard J. Volpe , respondent. ATTORNEYS: Claimants appeared Pro Se, Trappe, PA. Respondent appeared Pro Se, Harleysville, PA. DATE FILED: March 5, 2001 CASE SUMMARY: Claimants alleged that respondent misrepresented and omitted facts when he recommended a certain stock investment, thereby causing a loss in their account. C