N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (an Field 96-00597 Name of Respondent^ Gruntal & Co., Inc. The CMS Group CASE SUMMARY In a case filed with the National Association of Securities Dealers, Inc. on February 9, 1996, claimant Ian Field ("claimant"), who appeared Pro Se, alleged that respondents The GMS Group ("GMS") and Gruntal & Co., Inc. ("Gruntal"), (colle

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants^ Richard A. and Charmaine D. Yorty 96-00596 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Kurt Nielsen *- CASE SUMMARY In a case filed with the National Association of Securities Dealers, Inc. on February 9, 1996, claimants Richard A. and Charmaine D. Yorty ("Claimants") who appeared Pro Se, alleged that resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lina Asseo 96-00589 Name of Respondent First Union Brokerage Services, Inc. REPRESENTATION For Claimant, Lina Asseo ("Asseo"): Mark A. Tapper, Esq., Fort Lauderdale, Florida. For Respondent, First Union Brokerage Services, Inc. ("FUBS"): Barbara H. Wright, Esq., V.P. and Assistant General Counsel, First Union Brokerage Services

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Ralph Straetz 96-00588 Name of Respondent Stoever, Glass & Company Inc. REPRESENTATION For Claimant Ralph Straetz ("claimant") appeared Robert D. Kraus, Esq., New York, New-York. For Respondent Stoever, Glass & Company, Inc. ("respondent") appeared Michelle Laitres Orlowski, Esq. of Cusack & Stiles, New York, New York. CASE INFORMA

\\YARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Sonya Murray Name of Respondents Bank of America, NT&SA. Bankamerica. BA Investment Services, and Larrv R. Stinson NASD Regulation, Inc. Arbitration No. 96-00587 REPRESENTATION For Claimant: Robert M. Keese. Esq. and David N. Bigelow, Esq. Girardi and Keese Los Aneeles, California For Respondents:

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dan and Florence Kurzrnan 96-00586 N_ame of Respondents Smith Barney Inc. Albert Del Maestro CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 9, 1996, Claimants Dan and Florence Kurzman ("Claimants"), who appeared Pro Se, alleged that Respondents Smith Barney Inc. ("Smith Barney"} and Albert De

STTPTTT.ATFT) AWARD NATIONAL ASSOCIATION OF SECURITIES DEMURS REGULATION, INC. Hi the Matter of the Arbitration Between Name of Claimant Aimee Waters Name of Respondents Noble Investment Company of Palm Beach David Blech D. Blech & Co, Inc. 96-00582 FL ARBITRATION REPRESENTATION For Claimant: Robert H. Rex, Esq. of Dickenson, Murdock, Rex and Sloan, Boca Raton, Florida. For Respondent Noble Investment Company of Palm Beach ("Nobl

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Adora Z. Belo, Claimant v. TD Waterhouse Investor Services, Inc., Respondent Case Number: 00-05394 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Thomas G. Best, Esq. Law Offices of Thomas G. Best San Francisco, California For Respondent: Cara L. Finan, Esq. Julie A. Kole, Esq. Keesal, Young & Logan San Francisco, California

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Prudential Securities, Inc., Claimant, v. Case Number 96-00581 Paul G. Bowden, Respondent, REPRESENTATION OF PARTIES Claimant Prudential Securities, Inc. ("PSI") was represented by Michael A. Kraft, Esq. and Linda A. Gallagher, Esq. of Gomberg Kane & Fischer, Ltd. located in Chicago, Illinois. Respondent Paul G. Bowden ("Bowden") appeared pro se

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between James P. Evans and Joan D. Evans Claimants, and No. 96-00580 Merrill, Lynch, Pierce, Fenner & Smith, Inc., Nicholas Thomas Stafford and Vernon Eddie Alexander Respondents. REPRESENTATION OF PARTIES Claimants, James P. Evans and Joan D. Evans, were represented by Steven E. Clark, Esquire of de la Garza & Clark, located in Dallas, Texas. * Respond