N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Elizabeth J. Grigson 95-04901 Name of Respondents Prudential Securities, Inc. James Bailey REPRESENTATION Claimant Elizabeth J. Grigson ("Claimant") was represented by James N. Gross, Esq., Philadelphia, PA. Respondents Prudential Securities, Inc. ("PSI") and James Bailey ("Bailey") were represented by Nor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Theodore J. Schwartz 95-04894 Name of Respondents Spelman & Co., Inc. William P. Carroll REPRESENTATION For Claimant appeared Deirdre S. Venables, Esq., a sole practitioner located in South Hampton, New York. For Respondent Spelman & Co., Inc. appeared John P. Clone of Solana Beach, California. Respondent William P. Ca

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: State Street Securities, Inc. d/b/a Taylor Stuart Financial, (Claimant) vs. Louis M. Gomes and Paula Gomes, (Respondents) Case Number: 01-01076 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, State Street Securities, Inc. d/b/a Taylor Stuart Financial, hereinafter referred to as "Claimant": Lawrence S. Leibowitz, Esq., Wexler & Burkhart, P.C.

NASD REGULATION, INC. AWARD NASD REGULATION, INC, In the Matter of the Arbitration Between Name of Claimants Lewis J. Sperber Sperber Adams & Co., Inc., Sperber Adams Associates 95-04887 Name of Respondent Westport Resources Investment Services REPRESENTATION For Claimants, Lewis J. Sperber ("Sperber"); Sperber Adams & Co., Inc. ("SAC"); and Sperber Adams Associates ("SAA"), collectively ("Claimants"), appeared Alan R. Spirer, Esq. of th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Charles G. Allen Charles G. McDonald 95-04885 Name of Respondents Olde Discount Corporation Herbert Lament Robinson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 16, 1995, Claimants Charles G. Allen and Charles G. McDonald ("Claimants"), who appeared Pro Se, alleged that

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name nf Claimant GKN Securities Corp 95-04884 Name of Respondent Mark Jurman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 16,1995, claimant GKN Securities Corp. ("claimant"), through its representative and in-house counsel Katherine Nathan, alleged that respondent Mark Jurman ("respondent")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Genady P. Cherepanov 95-04882 Name, of Respondent Merrill, Lynch, Pierce, Fenner & Smith Inc. Jose R. Figarola Maria Figarola Arazoza Beverly S. Black CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 16, 1996; Claimant 1 U Genady P. Cherepanov ("Claimant"), who a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant GKN Securities Corporation 95-04877 Name of Respondent Alfred Caceres CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 16, 1995 Claimant GKN Securities Corporation ("Claimant") through its representative and in-house counsel, {Catherine Nathan, Esq., alleged that Respondent Alfr

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Arthur D. and Julie E. Stockdale Case No. vs. 95-04874 Name of Respondents Dickinson & Co. James Brian McVey REPRESENTATION For Claimant, Arthur and Julie Stockdale ("Claimants"), appeared Brian N. Smiley, Esq. of Page & Bacek located in Atlanta, Georgia, and Seth Lipner, Esq. of Deutsch & Lipner of Garden City, New Yo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp. 95-04873 Name of Respondent Mark Balbirer CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 16, 1995, Claimant GKN Securities Corp. ("GKN"), through its representative and in-house counsel, Katherine Nathan, Esq., alleged that Respondent Mark Balbirer ("Respo