Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Anthony Zockoll, Claimant v. Kimberly Securities, Inc., Kimberly Misuraca, and Philip J. Hourican, Respondents Case Number: 01-01086 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimant: P. Sterling Kerr, Esq. Kerr & Associates Las Vegas, Nevada For Respondents: Charles M. O'Rourke, Esq. Law Offices of Charles M. O'Rourke Woodbury, New Yor

NASD REGULATION, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Lawrence Lynn 95-05015 Name of Respondents Smith Barney Shearson, Inc. J.J. Morgan & Company Inc. Gilford Securities, Inc. Joseph Marc Blumenthal Vincent R. Drohan REPRESENTATION For Claimant Lawrence Lynn ("claimant") appeared Jacques G. Simon, Esq. a sole practioneer located New York City, New York. For Respondent Smith Barney Shearson, Inc. (

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Cassandra, Catherine and Jessica Pelledto 95-05014 l^ame of Respondents MetLife Securities Inc. Carol J. Sullivan CASE SUMMARY ^In a claim filed with the National Association of Securities Dealers, Inc. on October 23, 1995vCMmantsk Cassandra, Catherine and Jessica Pelleritd ("Claimants"), who appeared Pro Se, alleged that^the^

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frank Oravec c/f Matthew Oravec, UGMA/PA 95-05013 Name of Respondents Redstone Securities, Inc. Vincent Calvaruso CASE SUMMARY In a case filed with the National Association of Securities Dealers, Inc. on October 23, 1995, claimant Frank Oravec c/f Matthew Oravec, UGMA/PA ("claimant"), who appeared Pro Se, alleged that respo

NASD REGULATION, INC. AWARD NASD REGULATION, INC. 95-05011 In the Matter of the Arbitration Between Name of Claimants Victoria & Denise V. Fitzpatrick Name of Respondents USLife Equity Sales Corp. Gary M. Ferone REPRESENTATION For claimants, Victoria & Denise V. Fitzpatrick (" claimants"), appeared Joseph D. Cosgrove, Esq., located in Crestwood, New York. For respondent, USLife Equity Sales Corp. ("USL"), appeared Joel M. Miller, Esq., o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rodney L. and Bette J. Goe 95-05009 Name of Respondent John Dickson Barret Day Securities, Inc. (Bankrupt) CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 23, 1995, claimants Rodney L. and Bette 3. Goe ("claimants"), who appeared Pro Se, alleged that they purchased 300 shares

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Joseph and Dorothy Del Grande 95-05002 Name of Respondents Liberty Securities Corp. Irene S. Tagarelli Liberty Growth Properties Ltd Partnership REPRESENTATION 1 1 Claimants Joseph and Dorothy Del Grande ("claimants") appeared Pro Se. For respondent Liberty Securities Corp. ("Liberty") appeared Bruce F. Ripepi, Esq;,rinrhous

\\Rfr National Association of Securities Deafer* *«c. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant - i AT • J W - - T T T • All Rights Reserved Douglas A. Lapins and Virginia H. Lapins and 95-05000 Name of Respondent Value Equities Group, Inc. Richard W. Rogers Susan Rogers ^ J>cmgte A; ^Lapbs . ^ Esq., San Francisco, Califor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between l^ame of Claimant Halpert and Co., Inc. 95-04996 Name of Respondent Mark A. Jones CASE SUMMARY In a claim filed with the Nationals" Association of Securities Dealers v Inc. on October 23, 199&Cflaimanti!e.j v?i; !'Halpeti ajnd.Co., Inc/f ("Claimant") through its representative and^^tiThouse counsel, I^is^Ifei|^piieiiii v A,o i: alleged

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Hilda C. Jeansonne Claimant, v. No. 95-04994 Prudential-Bache Securities, Inc., and David P. Grigsby, Respondents. REPRESENTATION OF PARTIES Claimant Hilda C. Jeansonne ("Claimant") was represented by Allan R. Chason, Esq. of Chason & Chason, P.C. located in Bay Minette, Alabama. Respondent Prudential-Bache Securities, Inc. ("PSI") was repre