AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Inga Mayo v. Name of Respondents David Weiss, Neal Stein, William J. Reiniger John Klingenmeier, Alex Kahan, and Global Strategies, Inc. Arbitration No. 95-05036 For Claimant: For Respondents Neal Stein, and Global Stategies, Inc.: For Respondent Alex Kahan: REPRESENTATION Brian J. Sheppard, Esq. Law Offices of Brian J. Sheppard

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Sherwin J. and Shirley A. Fischer; Sherwin J. Fischer, as trustee of the Esquire Personal Services, Inc. Defined Pension Plan, DTD 3/6/85; and Esquire Personal Services, Inc.; Claimants, and No. 95-05035 Gruntal & Co., Inc. Respondent. REPRESENTATION OF PARTIES For. Claimants: Esquire Personal Services, ("Esquire"), Sherwin J. Fischer, as truste

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Q^imant Marie Owens Name of Respondent Dean Witter Reynolds, Inc. 95-05033 © National Association of Securities Dealers T **c. —~ 19% AilRightsReservcd REPRESENTATION For Claimant: K. Michael Swarm, Esq. of the law firm of Snyderbum, Rishoi & Swarm, Winter Park, Florida. For Respondent: George Sullivan, Esq.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph H. and Mary Lou Purvis 95-05030 Name of Respondents Prudential Securities Inc Thomas N. Tronolone CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 24, 1995, claimants Joseph H. and Mary Lou Purvis ("claimants") stated that until 1992 they had made good returns on the

^/v' 7 0^ • w *. -> NASD REGULATION. INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Allan Singer 95-05025 Names of Respondents Harmonic Research Mason Sexton REPRESENTATION For Claimant Allan Singer ("Claimant") appeared John F. Fox, Esq., a private practioner with ^offices located in Totowa, New Jersey. ;; ! r "!..'• ; r, ]>s ,|-or;Re^o^ ("HR t

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Jerry Sparks and Maria Poteet and Name of Resnondent Quick & Reilly, Inc. Bruce Bratt REPRESENTATION OF PARTIES Jerry Sparks and Maria Poteet ("Claimants") were represented by Murray I. Weiner, Gleason ; & Weiner,;P,C. S Colorado Springs, Colorado. i 95-05023 © National Association of Securities U

AWARD ,A ri ' NASD Regulation, Inc. Office of Dispute Resolution ©National Association of Securities Dealers. Inc. In the Matter of the Arbitration Between *~ • 199* Stifel, Nicolaus & Co., Inc., All Rights Reserved Claimant, v. No. 95-0502 1 Robert M. Cochran, Respondent. REPRESENTATION OF PARTIES Claimant Stifel, Nicolaus & Co., Inc. was represented by Tom Archer, Esq. and Dan O'Neill, Esq. of Bryan Cave LLP located

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Johnny Kegler Case No. vs. 95-05019 Names of Respondents Bear Stearns & Company Fidelity Brokerage Services, Inc. Tyrone Burroughs REPRESENTATION For Claimant Johnny Kegler ("Claimant") appeared Richard G. Curtis, Esq. of the law firm Lacy Katzen Ryen & Mittleman, LLP located in Rochester, New York. For Respondents Bear Stearns & Company ("Bear Ste

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barbara A. Allen 95-05018 Name of Respondent Dickinson & Co. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 24, 1995 Claimant ^Barbara A; ? Alleri ("Claimant"), who appeared Pro Se, alleged that she held account W3WW$tfcwiih ^Respondent Dickinson & Co. ("Respondent") a

NASDR AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. Lon E. Smallridge, Claimant, v. Case No. 95-05017 R.G. Dickinson & Company nl A ^c: and Brian L. Heithoff, "sel-i^-.i^ iw-*- • Respondents. REPRESENTATION OF PARTIES , JE^ '•',,, {; ,,; I < '-''* ^ :^ l ^^ ! " A^ 'V , ...... . . .. -.. - . 0i Rpsppridents., R':G.HPickinsoni&-Co. and Brian L. Heithoff were jrepr^sent^by «j Esquire of Dickinson