N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Melvin Schwartz Award No. vs. 95-00395 Name of Respondents Smith Barney Shearson, Inc. Gary Spector REPRESENTATION Claimant, Melvin Schwartz ("Claimant") appeared pro se. For Respondents, Smith Barney Shearson and Gary Spector, ("Respondents") Nicole L. Felton, Esq. New York City. CASE INFORMATION Statement of C

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Theresa Elmer and 95-00389 Name of Respondent Reynolds Kendrick Stratton, Inc. David Feyjin REPRESENTATION OF PARTIES Theresa Elmer ("Claimant") was represented by Gregory Friedman, Esq., Friedman & Holtz, Chicago, Illinois. Reynolds Kendrick Stratton, Inc. ("Respondent RKS") was represented by Jeffrey S. Kob, Esq., M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vincent Coughlin, (Claimant) vs. Cantor Fitzgerald Securities and eSpeed, Inc., (Respondents) Case Number: 00-03805 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Vincent Coughlin, hereinafter referred to as "Claimant": Norman Mednick, Esq., Law Offices of Leonard N. Flamm, New York, NY. Respondents Cantor Fitzgerald Securities ("Cantor") and eSpeed, Inc., ("eSp

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Jaya and Vasanta Yalamanchill 95-00388 Name of Respondent(s) Berkley Securities Corp. Darnell Deans REPRESENTATION For Claimants, Dr. Jaya and Vasanta Yalamanchili ("Claimants"), Ralph A. Gam, Esq. located in New York, N.Y. For Respondents, Berkeley Securities Corp. ("Berkeley") and Darnell Deans ("Deans"), collectively

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William Smith 95-00385 Name of Respondent Cantor Fitzgerald Securities REPRESENTATION For claimant William Smith ("claimant") appeared Brian F. Amery, Esq. of the law firm of Dressier, Amery & Ross located in Monistown, New Jersey. For respondent Cantor Fitzgerald Securities appeared Alan Kaminsky, Esq. of the law firm of W

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Allan R. Tessler 95-00384 Name of Respondent Gruntal & Co. Inc., REPRESENTATION For Claimant Allan R. Tessler ("Claimant") appeared Ronald D. Lefton, Esq. of the law offices of Camhy, Karlinsky & Stein located in New York, New York. For Respondent Gruntal & Co., Inc.("Respondent") appeared Evan J. Charkes, Esq., in-house counsel for Gruntal & Co., Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Tucker Anthony Incorporated 95-00381 Name of Respondent Terrence M Mailer REPRESENTATION For Claimant appeared Patrick J. Howley, Esq., in-house counsel for Claimant. The Respondent appeared Pro Se. CASE INFORMATION The Statement of Claim was filed on January 25, 1995. Claimant's Submission Agreement was signed on Febru

M.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS W, Scott Peterson. Claimant, v. No. 95-00380 Norwest Investment Services, Inc., Respondent REPRESENTATION OF PARTIES Claimant W. Scon Peterson ("Claimant") was represented by Christopher D. Schneider, Esq., of Morrison & Hecker, Kansas City, Missouri. Respondent Norwest Investment Services. Inc. ("Norwest") was represented by Robin M. Maher. Esq., of Norwest Investment Services, Inc..

fiPR.28.1998 3:06PM NftSD REGULflTION FL - NO.915 -Prtl/14 NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Gary Webster Case No. 95-00377 Names of Respondents Qppenheimer & Co., Inc. Michael Ferris REPRESENTATION OF PARTIES For Claimant: Stephen C. Sadin, Esq., Chicago, IL For Respondents Oppenheimer & Co., Inc. {"Oppenheimer") and Michael Ferris ("Ferris"); Richard Kelly, Esq. of Oppenhe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ernest Gottdiener 95-Q0368 Name of Respondent Prudential Securities Inc. REPRESENTATION For claimant Ernest Gottdiener ("claimant") appeared Lawrence J. Toscano, Esq. of the law firm of Heller, Horowitz & Feit, P.C. located in New York, New York. For respondent Prudential securities, Inc. ("respondent") appeared Theodore A. Kre