AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Leroy C. Lucas, Claimant, v. No. 96-05243 First of Michigan Corporation, Respondent. REPRESENTATION OF PARTIES Claimant Leroy C. Lucas ("Claimant") was represented by Bruce M. Bieneman, Esq. of Cholette, Perkins & Buchanan located in Grand Rapids, Michigan. Respondent First of Michigan Corporation ("Respondent") was represented by A. Michael

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Gerald Schauer and June Schauer v. Name of Respondents Doug Ashman, Pacific Coast Financial Securities, Inc. Kirt Wayne Ashman, Don Tullio Morandini, and Thomas Andrew Gans Arbitration No. 96-05239 REPRESENTATION For Claimants: David Liebrader, Esq. Law Office of David Liebrader Irvine, Californ

N.A.S.D. REGULATION INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Maaer of the Arbitration Between Name of Claiman^ Andrew Reiniger 96-05236 Name of Respondents Olde Discount Corporation Marc A. Sperling Milton E. Harfcrader, m For Claimant Andrew Reiniger ("Claimant") appeared Phillip G. Steck, Esq., of the law firm Cooper. Erving, Savage, Nolan & Heller located in Albany, New York. -'*?., >^ ;^ 4 ; For Respondents Olde Discoun

NASD Regulation, Inc., Award In the Matter of Arbitration Between Bruce D. Roth, Claimant, and No. 96-05233 Sunpoint Securities, Inc., and Spencer Griffith, Respondents. REPRESENTATION OF PARTIES Claimant, Bruce D. Roth ("Roth") was represented by Kenneth S. Saks, Esquire of Oliva & Saks, L.L.P. located in San Antonio, Texas. Respondent, Sunpoint Securities, Inc. ("Sunpoint") was represented by Janie L. Frank, Esquire of Shannon, Gracey,

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Gary E. Sommer NASD Case No. 96-05227 Name of Respondents Joseph Roberts & Co., Inc. Anthony Caliendo Robert B. DiMarco, Jr. Joseph F. DeSanto REPRESENTATION Claimant Gary E. Sommer ("Claimant") was represented by Howard M. Rosenfield, Attorney at Law, Avon, CT Respondent Joseph Roberts & Co., Inc. ("Joseph Roberts") did not appear. Resp

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Andrew Kowalczyk 96-05226 Descap Securities, Inc. Michael C. Cammarota Robert M. Fine John T. Macklin Robert Tirschwell REPRESENTATION For Claimant Andrew Kowalczyk ("Claimant") appeared Richard A. Roth, Esq., from the firm of Littman Krooks Roth & Ball, P.C., with offices located in New York, New York. For Respondents Descap Securities, Inc

NASD REGULATION FINAL ORDER In the Matter of the Arbitration Between Name of Claimant Gorlin-Okun, Inc. 96-05225 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc. REPRESENTATION For claimant Gorlin-Okun, Inc. ("claimant") appeared Michael Okun, President of claimant. For respondent Merrill Lynch Pierce Fenner & Smith ("respondent") appeared! Howard C. Sawransky, Esq., Assistant ; Vice President for respondent located in New

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Leo F. Brae 96-05224 Name of Respondent Donaldson Lufkin & Jenrette Securities REPRESENTATION Claimant Leo F. Brae ("Claimant") was represented by Jonathan Kord Lageman, Attorney-at-Law, New York, New York. Respondent Donaldson Lufkin & Jenrette Securities ("Respondent") was represented by Joseph D. Donnelly, Esq., Associate General Counsel at Donaldson, Lu

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant William A. Rutherford 96-05221 Name of Respondents Cowen & Company David Green Michael McCarty REPRESENTATION For Claimant William A. Rutherford ("Claimant"): Donald J. Crawford, Esq. of The Adams Law Center, Rockville, MD For Respondents Cowen and Company ("Cowen"), David Green ("Green") and Michael McCarty

NASD Regulation, Inc., Award In the Matter of Arbitration Between James M. Letsos, III Claimant, and No. 96-05220 Smith Barney, Inc. Commonwealth Associates and Guy Clemente, .-,. Respondents. REPRESENTATION OF PARTIES Claimant, James N. Letsos, III ("Letsos") was represented by Paul D. Flack, Esq. of Clements O'Neill Pierce & Nickens located in Houston, Texas. Respondents, Commonwealth Associates ("Commonweaith")and Guy Clemente ("Cleme