NASDR AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. ©National Names of Claimants: Securities Edward P. Hansen and Barbara L. Hansen NASDR Case NttHK# Name of Respondent: Smith Barney Inc. REPRESENTATION OF PARTIES Claimants, Edward P. Hansen and Barbara L. Hansen were represented by Timothy M. McDaniel, Esq. of McDaniel & Allen, P.C. located in Houston, Texas. Respondent, Smith Barney, Inc. was represented by William Hoha

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Satish C. Bansal, and Roopa Bansal, Claimants, © National Association c< Securities Dealers, ir.c. v. No. 95-03290 All Rights Reservec Gregory Schaff, and Piper Jaffray Hopwood, Respondents. REPRESENTATION OF PARTIES Satish C. Bansal appeared on behalf of Satish C. Bansal, and Roopa Bansai ("Claimants"). Gregory Schaff ("SchafF),

Award NASD In the Matter of the Arbitration Between: Name of the Claimant John C. Stovall Names of the Respondents A.G. Edwards & Sons, Inc. Bryce Weldon Smith Case Number: 01-01016 Hearing Site: New Orleans, LA REPRESENTATION OF PARTIES For John C. Stovall ("Stovall"), hereinafter referred to as "Claimant": Ben F. Melanson, Esq., Dampf, Thibaut & Melanson, L.L.P., Baton Rouge, LA. For A.G. Edwards & Sons, Inc. ("AGE") and Bryce Weld

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Tom Stuver 95-03289 Name of Respondent Olde Discount Corporation REPRESENTATION For Claimant: Clifford J. Hunt, Esq. of the law firm of Riden, Earle & Kiefner, St. Petersburg, Florida. For Respondent: Karen Fitzgerald, Esq., in-house counsel at Olde Discount Corporation. CASE INFORMATION Statement of Claim filed: July 7

VV ^ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of QaJmant James R. Kellam, Executor of the Estate of Eleanor H. Kellam 95-03287 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc. Thomas A. French David Ruckman- REPRESENTATION For claimant James R. Kellam, Executor of the Estate of Eleanor H. Kellam ("claimant") appeared James R. Kellarn, Esq. For re

• " N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gilford Securities, Inc. 95-03286 Name of Respondent Chris Eminente CASE SUMMARY In a claim tiled with the National Association of Securities Dealers, Inc. on July 10, 1995, Claimant Gilford Securities, Inc. ("Claimant"), through it representative, Larry Wachler, alleged that Respondent Chris Eminente ("Respondent"), commen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael Batlan 95-03285 Name of Respondents AFM Investments, Inc. Louis G. Scatigna Christopher Faustmann REPRESENTATION For Michael Batlan ("Batlan") appeared Robert I. Rabinowitz, Esq., located in Red Bank, New Jersey. For Respondents AFM Investments, Inc. ("AFM") and Louis G. Scatigna ("Scatigna") appeared Jerome M.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between William M. Goodman Claimant, v. No. 95-03284 Oppenheimer & Co., Inc. and Kidder, Peabody & Co., Inc. n/k/a PaineWebber, Inc. Respondents. REPRESENTATION OF PARTIES Claimant William M. Goodman ("Claimant") was represented by Joseph H. Spiegel, Esq. of Southfield, Michigan. Respondent Oppenheimer & Co., Inc. ("Oppenheune^was represented by

wi i n \ \ ty / N.A.S.D. AWARD N'ATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Catherine Lin-Hendel & Rudi Hendel Name of Respondents NASD Case No. $ National Association of 95-03279 Securities Dealers '->c. VHalpert & Co. All Rights Reserved 1 Robert Browne REPRESENTATION Rudi Hendel appeared for claimants Catherine Lin-Hendel ("Lin-Hendel") and Rudi Hendel (together referre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jerome and Mildred Toder 95-03274 N^rne of Respondents o National Associauon ot Securities Dealers, Inc First Hanover Securities Stephen Guzofsky All Rights Reservec ; REPRESENTATION Claimants Jerome and Mildred Toder ("claimants'*) appeared pro se. For respondent First Hanover Securities ("First Hanover") appe