NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant WILLIAM SCHULTZ AND Name of Respondents JEFFREY S. GOLDSTERN AND PHILIP EITMAN NASD Award 95-03167 > National Association of Securities Dealers inc AH Rights Reservtc REPRESENTATION For Claimant, William Schultz Bruce Ruzinsky Esq. located in Houston, Texas. For Respondent, Philip Eitman Philip Eitman appeared pro se.

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the matter of the Arbitration Between NASD Regulation, Inc. No.95-03157 Kevin M. Moriarty Claimant vs. Wells Fargo Securities, Inc. Respondent REPRESENTATION OF PARTIES For Claimant: Edwin L. Bradley, Esq., Kerosky & Bradley, San Francisco, California. For Respondent: Gilbert R. Scrota, Esq., Howard, Rice, Nemerovski, Canady, Falk & Rabkin, San Francisco, California. C

N.A.S.D. REGULATION AWARD ?- > NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ernest L. Moye 95-03152 Name of Respondent Prudential Securities, Inc. REPRESENTATION For Claimant appeared Kelly ScanJon, Esq. from the law firm of ScanJon Si Sansone, located in Pittsburgh, Pennsylvania. For Respondent appeared Steve Walowiu, Esq. from the law firm of Mayer, Brown & Plan located in New Yor

/v N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sonia Pritt 95-03130^ Name of Respondents " lhle * ^^rs.i nCi A] I P' *, Dime Securities of New York, Inc. **?ni&R- Brian DeCamp REPRESENTATION Claimant Sonia Pritt ("Claimant") appeared Pro Se. For Respondents Dime Securities of New York, Inc. and Brian DeCamp ("Respondents") appeared Michael P. Amod

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimants Lawrence P. Barnes v. Name of Respondents Securities, Inc., Joel D. Kettler and George T. Bergh © National Association of Securities All Rights Reserved NASD Arbitration No.95-03127 For Claimant: REPRESENTATION Phil Aidikoff, Esq. and Robert A. Uhl, Esq. Aidikoff &Uhl Beverly Hills, California

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Nicholas D. Ricco, Anna G. Riccoand Maria G. Chetti, Claimant, © National Association or Securities Dealers, I" c AH Rights Reserved v . No. 95-03120 Prudential Securities, Inc. and Michael J. Goodman, Respondent, REPRESENTATION OF PARTIES The. Claimants Nicholas D. Ricco ("Nicholas"), Anna G. Ricco ("Anna"), and Maria G. Chetti ("Maria") were represented by Wi

V M.A.S.D. AWABD NATIONAL ASSOCIATION OF SECURITIES HE!ATJSRS. TMP In the matter of the Arbitration Between ©NathmalAs. * • Securitie3>ealerslnc. Name of Claimant (.^i All Wgftts Reserved Edward E. Amende, Jr. and Janice Amende, Trustees of The E.E. Amende Defined Benefit Pension Plan NASD Arbitration No. 95-03114 Name of Respondent: (s) Thomas James Associates, Inc. John F. Winnick John M. Johnson For Claimants: R. Jeffr

-' / AWARD NASD REGULATION. INC. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration between Name of Claimant Shishir Gupta v. Arbitration No. 95-03110 Name of Respondents Berkeley Securities Corporation and Naresh Belwal REPRESENTATION For Claimant: H. Thomas Fehn, Esq. Fields, Fehn & Sherwin Los Angeles, California For Respondent Berkeley Securities Corporation: No Appearance For Respondent Naresh Belwal: Barr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name^of Claimant Arthur Earl Masters Family Trust 95-03102 Name of Respondent Mark Savoca CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 26, 1995, Claimant Arthur Earl Master family Trust ("Claimant"), who appeared Pro Se through Arthur Earl Masters, alleged that he held an account with Hanover S

KA.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Bonnie M. Bibey 95-03100 Name of Respondents) Noble Investment Co. of Palm Beach Jeffrey M. Scholar REPRESENTATION For Claimant Bonnie M. Bibey ("Bibey"): Casey Mills, Esq. of the law office of Casey Mills, Esq,, Ft Lauderdaie, Fi. For Respondents Noble Investment Co. of Palm Beach ("Noble") arid Jeffrey M. Schuler ("