NASD REGULATION, INC, OFFICE OF DISPUTE RESOLUTION AWARD NASD REGULATION. INC. OFFICE OF D1SPTTTE RESOLUTION In the matter of the Arbitration Between Name of Claimants S. Charles Dwyer NASD Regulation, Inc. v. Office of Dispute Resolution Arbitration No.96-00541 Name of Respondents Bear Stearns & Co., Inc. and Robert R. Susnar REPRESENTATION For Claimant: William F. Davis, Esq. 5 - Law Office of William F. Davis Pacific Palis

ARBITRATION AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Jean Bucchianeri 96-00540 Name of Respondent Georgeanna Fischetti; Dominick Joseph Vetrano REPRESENTATION For Claimant: Jean Bucchianeri ("Bucchianeri") appeared pro se. For Respondent: Georgeanna Fischetti ("Fischetti") and Dominick Joseph Vetrano ("Vetrano") were represented by Christopher J. Barber, Esq. of U

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Harriet Wishnick and No. 96-00537 Name of Respondents Prudential Securities, Inc. and Anne Lane Davidson REPRESENTATION OF PARTIES Harriet Wishnick ("Claimant") was represented by Robert Tobey, Esq. of Johnston & Budner located in Dallas, Texas. Prudential Securities, Inc. and Anne Lane Davidson ("Respondents") were represented

AWARD NASD REGULATION. INC. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Evangeline M. Andersen a.k.a. ANN v. * - Arbitration No. 96-00535 Name of Respondents Smith Barney Inc., Ted Kenney, Jacqueline Berkaw, Dan Breen, and Pacific Asset Group, Inc, REPRESENTATION For Claimant: Nancy B. Duffy, Esq. Law Office of Nancy B. Duffy Santa Barbara, California For Respondents Smith Barney

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Douglas W. Speed 96-00533 Name of Respondent Prudential Securities, Inc REPRESENTATION For Claimant: Robert J. Winicki, Esq. of the Winicki Law Firm, Jacksonville, FL. For Respondent: Stuart H. Singer, Esq. of the law firm of Kirkpatrick & Lockhart, LLP, Miami, FL. CASE INFORMATION Statement of Claim filed: February 6,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. TNC. In the matter of the Arbitration Between Name of Claimant Michael D. Seeman Name of Respondents Jeff Renley and Diversified Securities, Inc. NASD Arbitration No. 96-00532 REPRESENTATION For Claimant: . For Respondents: CASE INFORMATION Statement of Claim filed: Claimant's Submission Agreement signed: Statement of Answer filed by Respondent: Respondent's Submi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Gary Warburton Pension and Profit Sharing Plan v. NASD Arbitration No. 96-00531 Name of Respondents Robert Scott Securities, Inc., Titan Value Equities Group and William R, Kielty REPRESENTATION For Claimant: James J. Sullivan, Esq. Law Offices of James J. Sullivan San Francisco, California For Respondent Robert S

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter ot" the Arbitration Between Name of Claimant Warner M. Hussonc and Marcella E. Hussone v. Name of Respondent Russell Baicman and Financial Network Investment Corporation Arbitration No. 96-00530 REPRESENTATION For Claimants: For Respondent Russell Bateman: For Respondent Financial Network Investment Corp. James J. Sullivan. Esq. Law Offices Of Jam

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Masataka Uehara 96-00524 Name of Respondent Ron Y. Itin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 5, 1996 Claimant Masataka Uehara ("Claimant"), who appeared Pro Se, alleged that Respondent Ron Itin ("Respondent"), employed at J. Gregory & Co., failed to manage his inves

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-05386 Patricia Singer, Claimant vs. Louis M. Searfass, Respondent. ATTORNEYS: Claimant, Patricia Singer, ("Claimant"), appeared Pro Se., Napa, CA. For Respondent, Louis M. Searfass, ("Respondent"), appeared James A. Vollins, Esq., Vice President and Associate General Counsel, First Union Corporation, Charlotte, NC. DATE FILED: December 5. 2000 CASE SUMMARY: Claimant alleged that Re