N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant A.G, Edwards & Sons, inc. 95-04119 Name of Respondent Henry V. Schultz CASE SUMMARY In a claim filed with the National, Asspcjatipn^f Sec.urities,Pea]ejCS, Inp.^pn August 29,199$^Giaimantv A.G. Edwards & Sons, Inc. ("Claimant"), .through its representative and in-house counsel y *Michael D. Gates, alleged that Responden

TUN-QS-99 16=05 FROM:NASD REGULATION ID= PAGE 8/16 1 * NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution lathe Matter -of < he Arbitration Between Name nT TJaTmant The Harrknan Qroup, Inc. Case No. 95XH117 Name of Respondent Yossi Yakar Claimant The Haniraan -Group inc. ("Claimant") was represented during me ptea&iags stage by Robert Krakow, Esq., of N«w York, NY. Respondent Yossi Yafcar ("Respondent") was represented during t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Narne of Claimants Frederic R. and Althea 0. Ames Name of Respondents Joel Albert Nazareno Hanover. Sterling & Co.. LTD (Bankruptcy) Adler, Coleman Clearing Corp. (Bankruptcy) Thomas D. Flamenco 95-04116 * '^.r^n.* 1 / A*s"::*ton of CASE SUMMARY Inf a- claim filed- MthlKe- ^National Association^sf^efcu^ti^ Claimants Frederic

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Torrey Pines Securities, Inc. 95-041L3 Name of^Respondent Edward Goiick CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 28, l< $5,iOaimant Torrey Pines Securities, Inc. ("Claimant"), through its representative and President, JactevCPiSnuthvc alleged that Respondent Edward Goiick

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Gary Millner, Claimant, v. No. 95-04107 Pauli & Company, Respondent. REPRESENTATION OF PARTIES Claimant Gary Millner ("Claimant") was represented by Donald J. Meehan, Jr., Esq., of Moline & Shostak, St. Louis, Missouri. Respondent Pauli & Company ("Respondent") was represented by Daniel G. Vogel, Esq., of Johnson & Neuman, L.C., St. Louis, M

/" AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Kevin C. Walsh 95*4106 Name of Respondent Waterhouse Securities Inc. *• Va - iom!i Association of Sc-uriiicx Dealer::, inc. REPRESENTATION For Claimant: Kevin C. Walsh ("Walsh") appeared pro se. For Respondent: Waterhouse Securities Inc. ("Waterhouse") was represented by Robert F. X. :,Bphr :

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Andrew W. Walter 95-04103 Name of Respondent Internationale Nederlanden (U.S.) REPRESENTATION For claimant Andrew W. Walter ("claimant") appeared Jennifer Sulzberger, of the law firm Andrews & Kurth, L.L.P. located in New York City, New York. For respondent Internationale Nederlanden (U.S.) ("ING Capital Holdings") appeared Chr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Andrew Sirico (Claimant) v. The Concord Equity Group, Nicholas Mariniello, and Alan Govornik (Respondents) Case Number: 00-05324 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Andrew Sirico ("Sirico") hereinafter referred to as "Claimant": Eric J. Sussman, Esq., Garden City, NY.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ralph L. and Michaela V, Amato Case No. | v. 95-04102 Name of Respondent(s) Prudential Securities Inc Keith L. Polishook REPRESENTATION For Claimants Ralph L. Amato and Michaela V. Amato ("Claimants") appeared pro se. For Respondents Prudential Securities, Inc. (" Prudential") and Keith L. Polishook ("Polishook")(colle

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas Reichert 95-04100 Name of Respondent Thomas Arcuik REPRESENTATION For Claimant Thomas Reichert, ("Reichert"), appeared Richard B. Cohen, Esq. from Akabas & Cohen located in New York, New York. For Respondent Thomas Arcuik, ("Arcuik"), appeared Dan Brecher, Esq. from the Law Offices of Dan Brecher located in New York,