N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 95-01898 Name of Respondent Greg Viola REPRESENTATION For Claimant appeared Christopher Freeze, Esq., in-house counsel at Prudential Securities, Inc. Respondent appeared Pro Se. CASE INFORMATION The Statement of Claim was filed on April 17, 1995. Claimant's Submission Agreement was signed on

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant GKN Securities Corporation 97-02799 Name of Respondent Brian Frey REPRESENTATION For Claimant GKN Securities Corp. ("Claimant") appeared Katherine Nathan, Esq., of the firm GKN Securities Corp. located in New York, New York. Respondent Brian Frey ("Respondent") did not enter an appearance in this matter. CASE INFORMATION Statement of Claim was filed

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION T INC. CASE:97-03198 Zhichuan Zhao, claimant vs. Perpetual Securities, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Ocean, NJ. Respondent appeared Pro Se, through its Compliance Officer, Cathy Huang, New York, NY. DATE FILED: June 21, 1997. CASE SUMMARY: Claimant alleged that respondent charged excessive commissions and misinformed him about the executi

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Bradley Franzen and 98-00105 Name of Respondent Investors Associates, Inc. Joseph J. Mandaro REPRESENTATION OF PARTIES Bradley Franzen ("Claimant") was represented by Bradley J. Schmidt, Esq., Schmidt, Thompson, Johnson & Moody, Wilmar, Minnesota. Investors Associates, Inc. ("Respondent Investors") did not appear at the hearing. Joseph J. Mandaro ("

STIPULATED AWARD NASD Regulation, Inc. In the matter of the Arbitration between: Name of Claimant Patrick Manna 98-01346 Name of Respondents OLDE Discount Corporation and Victor Katis, / REPRESENTATION For Claimant: James J. Eccleston, Esq. of Eccleston & Associates, P.C., Chicago, Illinois. For Respondents: Howard M. Klausmeier, Esq. and Kurt W. Lofgren, Esq. of Olde Discount Corporation, Detroit, Michigan. CASE INFORMATION

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerry Deruelle and Carol DerUelle, (Claimants) vs. Everen Securities, Inc. and Samuel Paul, (Respondents) Case Number: 99-02242 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimants, Jerry Deruelle ("J. Deruelle") and Carol Deruelle ("C. Deruelle"), hereinafter collectively referred to as "Claimants**: James B. Davis, Esq., Attorney at Law, Newbury, OH. Previously re

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Bernadette S. Heyer, Claimant, v. Texas Capital Securities, Kenneth B. Karpf, Mike McGinnis and Thomas Buckley, Respondents. Case Number: 98-02625 Hearing Site: St. Louis, Missouri REPRESENTATION OF PARTIES Claimant, Bernadette S. Heyer ("Claimant") was represented by Keith G. Liberman, Esq., Clayton, Missouri. Respondents, Texas Capital Securities ("TCS"), Mike McGinnis ("McGinni

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Natalie Rosen 96-02995 Name of Respondents Barren Chase Securities, Inc. Brian Krogstad Marc Gast Standford Williams CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on July 12, 1996, claimant Natalie Rosen ("claimant"), who appeared Pro Se, alleged that respon

NASD REGULATION. INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Robert D. O'Brian 96-03917 Name i pf Respondents John Bruzzese Monitor Investment Group Inc. REPRESENTATION Claimant, Robert D. O'Brian, Esq. appeared pro se. For Respondent, John Bruzzese ("Bruzzese") appeared, Darren Lampert, Esq. of the law firm Lampert & Lampert located in New York, New York. Respondent, Monitor Inv

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Max and Roslyn Lichtman Max Lichtman IRA Roslyn Lichtman IRA Roslyn Lichtman, Custodian 96-03966 Name of Respondents Dean Witter Reynolds Inc. Bonnie Newman REPRESENTATION For claimants Max and Roslyn Lichtman ("claimants") appeared their representative Walter D'Ull, Esq. a sole practiti