N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Roberta L. Clayton 95-01923 Name of Respondent Fidelity Investments Institutional Services CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 20, 1995, Claimant Roberta L. Clayton ("Claimant"), who appeared Pro Se, alleged that Respondent Fidelity Investments Institutional Services

AWARD AZ. NATIONAL ASSn^ATW OF FreTTRIT F»FAT *pg TXIP In the matter of the Arbitration Between © National Association ci Securities Dealer:. Inc Microware Exceltek, Inc. All Rights Reserveo vs NASD Arbitration No.9503238 Name of Respondent *Hillcrest Financial Corporation Adam Sean Goldstein For Claimant: Daniel J. Modena, Esq., Modena & Royce, South San Francisco, California For Respondent Hillcrest Financial: Michael Present,

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between \ -o / V / Name of Claimant John Morrell 95-03223 Name of Respondents Thomas Hauke Robert Hill REPRESENTATION For Claimant John MorrelJ, IRA ("Claimant"), appeared Frank Anselmo, Esq., a solo practitioner located in Darien, Connecticut. Respondent Thomas Hauke ("Hauke") did not appear at the hearing on the merits. Respondent Robert Hill

01 - ^.0200 NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Wolf Weber 95-03222 Name of Respondents Prudential Securities, Inc. Prudential-Bache Securities (Germany), Inc. Jochen Langhamrner Dieter Lindenberg Ian G. Hassett Alan D. Hogan Leland B. Paton REPRESENTATION For Claimant Wolf Weber ("Claimant") appeared Curt Muller, Esq. of the firm Anwaltskanzlei Michael-Christian Rossn

•/> N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ira Kaplan 9.503220 Name of Respondents © National Association of Securities Dea!ers, Inc. . Rimson & Co., Inc. James Shekhtman All Rights Reserved REPRESENTATION For Claimant Ira Kaplan appeared John E. Lawlor, Esq., of Garden City, NY. Respondent James Shekhtman appeared via telephone. Respondent M. Rimson & C

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Barbara J. Geary and Michael S. Pesavento Claimants, v. No. 95-03211 Paine Webber, Inc., James MacDonald and James Layden Respondents. REPRESENTATION OF PARTIES Claimants Barbara J. Cleary ("Cleary") and Michael S. Pesavento (Tesavento 11 ) (collectively referred to as "Claimants") were represented by Barbara J. Cleary. Claimants

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Robert F. Lasher, Claimant, 95-03206 -against- Name of Respondent^ Reich & Co., a Division of Fahnestock & Co., Inc., and Reich & Co., Inc. Respondents. REPRESENTATION For Claimant Robert F. Lasher appeared Timothy J. O'Connor, Esq. of the law firm of Ainsworth, Sullivan, Tracy, Knauf, Warner & Ruslander, P.C., loc

NASD REGULATION, INC. AWARD ^ NASD REGULATION, INC. o / -i 7 Li the Matter of the Arbitration Between Name of < Laura Harryman 95-03195 A-G. Edwards & SOBS, tec. Smith Barney Sbcarson, IDC. JocSaporito Jeff Wang DougKcotfidd Kevin Kennedy AlftnBorko For Claimant Laura Banyman {"daraanr*) appear^QiarieiJ. York, New York. For Retponrtfflflt A.G. Edwards & Sons, lac. rEdward**), Kevin Kennedy ("Kennedy"), David H

NASD Regulation, lnc. : Dispute Resoutif,"- 515 E. Las Olas Blvd., Suite 1100 Fort Lauderdale, FL 3330? 305-522-7391 N-A.S.D. AWARD 305-522-7403-Fax N OK SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants William A. and Rita L. O'Keele 95-03189 Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and Lois W. Appleby REPRESENTATION For Claimants. William A. and Rita L. G'Keete ("the O'

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Philip L. Haik, Jr. Philip L. Haik, Jr. DDS Employee Profit Sharing Trust and NASD Case Number: 95-03181 Name of Respondents Joseph Charles & Associates, Inc. Craig Fischer REPRESENTATION OF PARTIES Claimants Philip L. Haik, Jr. and Philip L. Haik, Jr. DDS Employee Profit Sharing Trust were represented by Brian P. Charbo