N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-03322 Oide Discount Corporation, claimant vs. Frank Bierekoven, respondent. ATTORNEYS: For Claimant Olde Discount Corporation ("Claimant"), Aaron L. Kleid, Esq., Collection Department, Olde Discount Corporation, Detroit, Michigan. Respondent Frank Bierekoven ("Respondent") did not respond to the Statement of Claim. DATE FILED: 7/21/1999 CASE SUMMARY: Claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In tne Matter of the Arbitration Between ) ) Estate of S.C. Heitner, First National ) Bank of Evergreen Park, Administrator ) ) Claimant ) anci CASE NO. 89-00103 Newnard Cook & Co., Inc. and Jerry Stein Respondents ) CASE SUWARY In a claim filed with the NASD on or about January 16, 1989, Claimant, the Estate of Jeanette C. Heitner ("Estate*) alleged that Respondent Jerry Stein ("S

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between } CATHERINE C. and WILLIAM A. GERARD, ) Claimants, ) } Case H9-Q0024 vs. ) Avard XASHNER DAVIDSON"SECURITIES CORPORATION, ) Respondent. ) Heard before the member of the Arbitration Panel: James R. Kennedy Jr., Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on January 9, 1989. The hearing •«as conducted in Tampa, Florida on February 14, 1

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimant Bruce Knutson 92-02719 Name of Respondent Dean Witter Reynolds, Inc. For Claimant at the hearing: Bonnie L. Wilkins. Esq. of Holmes & Graven, Minneapolis, Minnesota. For Respondent at the hearing: Scott £. Richter, Esq. of Popham Haik. Minneapolis. Minnesota. CASE INFORMATION Statement of Claim filed: August 13. 1992. C

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert I. Youk 92-02717 Name of Respondent Olde Discount Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 13, 1992. Claimant Robert S. Youk, who appeared Pro Se, alleged that Respondent Olde Discount Corp. made unsuitable recommendations which caused him to

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter ot' the Arbitration Between Name of Claimant Eugene Koalkin 92-02715 Name of Respondents Prudential Securities Inc. Selig Ratchick REPRESENTATION For Claimant Eugene KoaUtin ("Claimant"): David Hirschberg, Esq., of Wexler ABurkhart, P.C. For Respondents Prudential Securities, Inc. ("PSI") and Selig Ratchick ("Ratchick"): Joseph D'Elia, Esq., of the Law Offices of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NjuneofCJaimjnts Charles Malkasian & Violet M. Malkasian 92-02714 Name of Respondents Dean Witter Reynolds Inc. Frank J. Peroa REPRESENTATION For Claimant: Jeffrey A. Sellers, Esq. For Respondent: Elizabeth Hill, Esq. of Dean Witter Reynolds, Inc. CASE INFORMATION Statement of Claim filed: August 12, 1992. Claimant's Submission Agre

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paine Webber. Inc. 92-02713 Name of Respondent Nancy Ann Barrack CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 13, 1992. Claimant PaineWebber, Inc.. through it's in-house counsel, Joseph F. Generelli, Esq., alleged that Respondent Nancy Ann Barrack received a prepay

N.A.S.D. AWARD * i i NATIONAL ASSOCIATION OF SECURITIES Dl In the Matter of the Arbitration Between ^£C 2 1993 Name of Claimant(s) l£L ARBITRATION Joseph Maenza Case No. 92-02705 Name of Respondent^ Paragon Capital Corporation Larry Blocksberg REPRESENTATION For Claimant Joseph Maenza ("Maenza"): Russell L. Forkey, Esq. For Respondent, Paragon Capital Corporation ("PCC"): Jerome J. Schwarzman, Esq. Respondent, Larry Blocksber

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Michael Cohen of Resondent(s) NASD Arbitration No. 92-02703 Kidder, Peabody & Co., Inc Kerry M. Day Myron L. Blackman REPRESENTATION For Claimant: Raymond Gaitan, Esq., Greenbaum And Ferentz, Newport Beach, California For Respondents: William H. Phelps, Esq, Kidder, Peabody & Co., Inc., Los Angeles, Californi