N.A S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In (he Matter of the Arbitration Between Name of Claimants Joseph and Deidra Siracusa 95-03920 Name of Respondents Ernst &. Company Elliott Mittler CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 15, 1995 Claimants Joseph and Deidra Siracusa ("Claimants"), who appeared Pro Se, alleged that they held an account with Respondent Ernst

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant GVR Company 95-03918 Name of Respondent AAA Stockbrokers, Inc. REPRESENTATION For Claimant: GVR Company ("GVR") was represented by James E. Dahl, Esq. of James E. Dahl & Associates, located in Chicago, Illinois. For Respondent: AAA Stockbrokers, Inc. ("AAA") did not appear at hearing, but was represented by Jonathan A. Pace

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS fn the Matter of the Arbitration Between Name of Claimants} Allen & Company of Florida, Inc. 95-03916 Name of Resnondent(s) Jennings Scott Simms CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 14, 1995 Claimant Allen & Company of Florida, Inc., through its Vice President, Frederick O. Kraus, Jr., alleged that Respondent Jennings Scott

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Gary H. Reaves 95-03915 Name of Respondents Wheat First Securities, Inc. Colin C. "Cam" Murchison REPRESENTATION Claimant Gary H. Reaves ("Claimant") was represented by William H. Lindsey, Esquire, of the law firm of William H. Lindsey, P.C., Salem, Virginia. Respondent Colin C. Murchison ("Murchison")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William E. Jackrnan 95-03914 Name of Respondent Fidelity Investments Institutional Services CASE SUMMARY [n a claim filed with the National Association of Securities Dealers, Inc. on August 14, 1995, Claimant William E. Jackman ("Claimant"), who appeared Pro Se, alleged that Respondent Fidelity Investments Institutional Service

Arbitration & Mediation National Association of Securities Dealer*. Inc. * NASD Fininciil Center * 33 Whitehall Slree* * New York, NY 10004 * Fax 212-858-4429 Washington DC Satellite office at: 1735 K Street, NW - 10th Floor * Washington, DC 20006 * Fax 202-72B-69S2 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants, Jerry and Peggy Esterman 95-03912 Name of Joseph Esposito J.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants George W. and Anna R. Krai! 95-03911 Name of Respondents Olde Discount Corporation James Gear CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 14, 1995, Claimants George W. and Anna R. Kroll ("Claimants"), who appeared Pro Se, alleged that Respondents Olde Discount Corporati

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Robert C. Malenchek 95-03910 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Charles M. Anderson REPRESENTATION For Claimant, Robert C. Malenchek, ("claimant") appeared George V. Cornell, III, Esq., Staten Island, New York. For Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill") and Charles Anderson

1V,A.S.D. AWARD NATIONAL ASSOCIATION OF SF.rURITTRS DEALERS. INC. In the matter of the Arbitration Between Name of £iaimam(s) LMDE, Inc. v. NASD Arbitration No. 95-03907 Name of Respondent^ Smith Barney Shearson, Inc. and Prudential Securities, Inc. REPRESENTATION For Claimant: Bruce R. Safran, Esq, Law Offices of Bruce R. Safran Tarzana, California For Respondent Smith Barney Shearson, Inc.: James S. Goddard, Esq. Smith Barney S

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joseph W. Murzyn, (Claimant) v. First Union Securities f/k/a Everen Securities and William Bransky, (Respondents) Case Number: 01-01038 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Joseph W. Murzyn ("Murzyn"): Thomas C. ODonnell, Esq. with offices located in Highland, Indiana. Respondents First Union Securities f/k/a Everen Securities ("First Unio