N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants C.J. and Nora B. Wangerin 95-00360 Name of Respondents D.H. Blair & Company Richard C. Smith CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 23, 1995, Claimants C.J. and Nora B. Wangerin ("Claimants"), who appeared Pro Se, alleged that Respondents D.H. Blair & Company ("DH

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Qidi and Ziaoming Chen 95-00359 Name of Reppondeifl(s) National Discount Brokers CAgE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 23, 1995, Claimants Qidi Chen and Xiaoming Chen, who appeared Pro Se, alleged that on October 25, 1994, Respondent, National Discount Brokers, executed an opt

N.A.S.D. MODIFIED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS (n the Matter of the Arbitration Between Name of Claimant Juanita W. Childs 95-00357 N.ime of Respondent PaineWebber, Inc. CASE SUMMARY In her 36 page claim filed with the National Association of Securities Dealers, Inc. on January 23, 1995, Pro Se Claimant Juanita W. Childs ("Claimant"), alleged that she filed a complaint against PaineWebber, Inc. ("PWI"), with the U.S. Fede

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael Priest, Claimant Vs. Investors Brokerage of Texas, Inc. Respondents. Case Number: 00-03804 Hearing Site: Dallas, Texas Claimant, Michael Priest, ("Priest") was represented by R. Spencer Shytles, Esquire of the Firm Graham, Bright and Smith, P.C. located in Dallas Texas. Respondent, Investors Brokerage of Texas, Inc. ("Investors Brokerage") was represent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Kenneth R. Keller 95-00356 Name of Respondents) Steven A. Souhrada Scott L. Mathis CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 23, 1995, Claimant Kenneth R. Keller, who appeared Pro Se, alleged that Respondents Steven A. Souhrada and Scott L. Mathis of Gruntal & Co. re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William Baig Trust, William Baig TTEE 95-00354 Name of Respondents Wheat First Securities, Inc. (a.k.a. Wheat First Butcher Singer) Sharon Kells CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 23, 1995. Claimant, William Baig Trust, William Baig TTEE, who appeared Pro S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Donald M. and Linda G. Kasprzyk 95-00353 Name of Respondents Prudential Securities, Inc. Theodore J. Van Der Horn CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 23, 1995, Claimants Donald M. and Linda G. Kasprzyk ("Claimants"), who appeared Pro Se, alleged that they spoke

1 . N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cl^manf Harold D. Harm 95-00352 Name of U.S. Securities Clearing Corp n/k/a Beckman a Division of Emmett A. Larkin Company, Inc. Merle B. Gross Emmett A. Larkin Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 20,1995, Claimant Harold D. Harm ("Claimant"

NASD Arbitration No. 95-00349 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES PETERS. INC. In the matter of the Arbitration Between Name of Claimant(s) John M. Veltri Name of Respondentfs) Eric Rand Commonwealth Associates Gruntal & Co., Incorporated REPRESENTATION For Claimant: Cedric Choi, Esq., Honolulu, Hawaii For Respondent Eric Rand: David Crystal II, Esq., Gilbride, Tusa, Last & Spellane LLC, New York, New York For R

NAS.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between © National Association of Name of Claimant Securities Dealers, Inc. J.W. Charles Securities, Inc. All Rights Reserved CASE NO. 95-00344 Name of Respondent First Southwest Company REPRESENTATION For Claimant, J.W. Chaiies Securities, Inc. ("Charles"): Kiefli Olin, Esg., of Morgan, Lewis & Bockius of Miami, Florida. For Respondent, First Southw