NASD REGULATION, Inc. AWARD In the Matter of the Arbitration Between Name of Claimants! GKN Securities Corporation 95-04867 Name of Respondent(s') Anthony Lekanides REPRESENTATION For Claimant GKN Securities Corporation ("Claimant") appeared Katherine Nathan, Esq. t , Counsel for GKN Securities Corporation located in New York, New York. ~mt* Respondent Anthony Lekanides ("Respondent") did not appear at the hearing. - v '3R* '-* CASE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant GKN Securities Corporation 95-04866 Name of Respondent Armond J. Federico CASE SUMMARY In a claim filed with the National Association of Securities Dealers^'Infr-oii October 16, 1995^ Claimant GKN Securities Corporation ("Claimant"), through its representative and in-house counsel- ;Kath£rine :; Nathan, Esq., alleged that Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp. 95-04865 © National Association of Name of Respondent Securities Dealers,Inc. Mario G. DiDomenico „„„=_,.. ' Reserved In a claim filed with the National Association of Securities-Dealers, Ihc. ; on October 16,i l$95^@rKtik- U \ Securities Corp. ("GKN") who appeared through its'.representative and in

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jinnie Simonsen, Claimant v. Bear Stearns & Co., Inc. 5 Jedd F. Dunas, Richard G. LaVoice, Respondents Case Number: 01-01072 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES ' For Claimant: George S. Trevor, Esq. Trevor & Weixel, LLP Corte Madera, California For Respondents: , Peter R. Boutin, Esq. Kelly J. Moynihan, Esq. Keesal, Young & Loga

NASD Arbitration No. 95-04863 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) The Bovet Family Trust Name of Respondent(s) Brett E. Hirsch REPRESENTATION For Claimant: Lori A. Lutzker, Esq., Carr, McClellan, Ingersoll, Thompson & Horn, Burlingame, California For Respondent: No Appearance by Brett E. Hirsch CASE INFORMATION Statement of Claim filed: Octob

,A< NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Dennis Guptil Claimant, v. No. 95-04862 Chatfield Dean & Co., Inc., Andrew S. Pesner, and John M. Dabal Kjgtiis Reserved Respondents. REPRESENTATION OF PARTIES Claimant Dennis Guptil was represented by;Bx>bert A,,;fiife^^ Respondent Chatfield Etean:& Co,, Inc. wa& represented by ChristaD. Taylor; Esquire, olCJhatfiekl Dean

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between long Shu Li, Claimant, v. No. 95-04861 AAA Stockbrokers, Inc., and Fusung Peter Wu, Respondents. REPRESENTATION OF PARTIES Claimant long Shu Li was represented by J. Brantley Saunders of The Barbknecht Firm located in Dallas, Texas. Respondents AAA Stockbrokers, Inc. and Fusung Peter Wu were represented by Jonathan A. Pace, Esquire of Pa

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Lawrence Fagelbauxn Individually and as Custodian for Harry Fagelbaura and Gary Fagelbaum; Harry, Lawrence, Gary and Martin Fagelbaum, JTWROS; and Harry Fagelbaum 95-04858 Names of Respondents Fahnestock & Co., Inc. and Anthony V. Boniello REPRESENTATION For Claimants: Russell L. Forkey, Esq., Fort Lauderdale,

- V / NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Shirley J. Watson and NASD Case Number: 95-04856 Name of Respondents A.G. Edwards & Sons, Inc. Robert Michaei Kelly REPRESENTATION OF PARTIES Claimant Shirley J. Watson was represented by Michael C. Crowley, Esq. of El Paso, T&a&u \. : rn Respondents A.G. Edwards & Sons, Inc. and Robert Michael Kelly wer

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION ARBITRATION AWARD NASD REGULATION. INC. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Elana Traub and Lois Esformes Name of Respondents Gilford Securities, Inc. and Norcross Securities, Inc. NASD Regulation, Inc. Office of Dispute Resolution Arbitration No.95-04851 REPRESENTATION For Claimants: For Respondent Norcross: Statement of Cl