N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard M. and Patricia Belanger Award No. vs. 9504666 Name of Respondents ( L Va'M!:"! vxi'nnion ot Corporate Securities Group S,,u:;.^ ix^iuy.ifcc. David Matthew Murphy All Ri.L7.Ls Rjsonx..; REPRESENTATION Claimants, Richard M. and Patricia Belanger (collectively "Claimants"), appeared pro se. • •:-IU^MK s-i . i

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between George N. Staub, Jr. Claimant NASD Arbitration v. No. 95-04664 Smith Barney Shearson, Inc. Respondent REPRESENTATION OF PARTIES George N. Staub, Jr. ("Claimant") represented himself, pro se. Smith Barney Shearson, Inc. ("Respondent") was represented by Irene F. Stolarz, Smith Barney Inc., San Diego. CASE INFORMATION Claimant's Stateme

NASD REGULATION, INC. AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Martin J. Roe and Beatrice G. Roe, Co-TTEES Trust v. Arbitration No. 95-04660 Dominic Prosi and Prudential Securities REPRESENTATION For Claimants: Brian Mausser Van Nuys, California For Respondent Dominic Prosi: Paul I. Hamada, Esq. Keesal, Young & Logan Long Beach, California For Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Avi Weiner v. 95-04659 © National Association of Name of Respondents Securities Deafer: 'nc. M. Rimson & Co., Inc. ~ Alex Schindman Edward Weisman AH Rights Reserved REPRESENTATION For Claimant, Avi Weiner, appeared William Greenberg, Esq., a sole practioner, located in White Plains, New York. •>!; : u- iM i . F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ William J. Raike. Ill 95-04656 Name of ResDondent(s) & National Association of Securities Dealers, Inc. First Colonial Securities, Inc. All Rights Reserved REPRESENTATION For Claimant William J. Raike, III ("Claimant") appeared Terry R. Weiss, Esq., of the firm Long Aldridge & Norman, located in Atlanta, Georgia For Re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-01066 Anthony Scott and Linda Katheryn Head, Claimants vs. Birchtree Financial Services, Katrina B. Gray and Douglas M. Day, Respondents. ATTORNEYS: For Claimants, Anthony Scott Head and Linda Katheryn Head, appeared William J. Gladden, Esq., Savannah, GA. For Respondents, Birchtree Financial Services, Katrina B. Gray and Douglas M. Day appeared Anthony J. Durone, Esq. of the firm

Award NASD Dispute Resolution, Inc. I;n the Matter of the Arbitration Between Name of Claimant David Baird Montgomery Case No. 00-00684 Name of Respondent A.G. Edwards & Sons, Inc. REPRESENTATION OF PARTIES For David Baird Montgomery, hereinafter referred to as "Claimant": William A. Coates, Esq., Love, Thornton, Arnold & Thomason, P.A., Greenville, South Carolina. For A.G. Edwards & Sons, Inc. ("A.G. Edwards"), hereinafter referred to as "R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ira Bernard Newman Name of Respondents Duke & Co. Inc. Victor Wang Gregg Thaler 95-04652 REPRESENTATION For Claimant Ira Bernard Newman ("claimant") appeared Brian S. Fraser, Esq., of the law firm Richards, Spears, Kibbe & Orbe located in New York, New York, For Respondents Duke & Co., Inc. ("Duke"), Victor Wang ("Wang"

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Alan A. Niederland 95-04651 Name of Respondents L.C. Wegard & Co., Inc. Brian Patrick Wells REPRESENTATION Claimant Alan A. Niederland ("Claimant") was represented at the hearing by James M. Strauss of Goodkind Labaton Rudoff & Sucharow LLP, New York, New York. Respondent Brian Patrick Wells ("Wells") was

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gateway Capital Investment Group, Inc. 95-04647 Name of Respondent The Third Market Corp. In a claim filed with the National Association of Securities Dealers, Inc. on October 2, 1995,n Claimant: Gateway Capital Investment Group, Inc., through it representative and CEO, Gene Wolfson, aflegedrthatipit Respondent The Third Market Cor