AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Michael L. Richey, M.D., and David L. Shepard, M.D., Claimants, v. No. 96-05052 Gilbert Marshall & Company, Inc., Michael Usher, John Guyette, Thomas Patrick Meehan, Dena Halfacre, Brian Byer, and Tom Bronzan, REPRESENTATION OF PARTIES Claimants Michael L. Richey, M.D. and David L. Shepard, M.D. were represented by Michael L. Richey,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James M. Armor and 96-05050 Name of Respondent; PaineWebber, lac„ Steve Jensen REPRESENTATION OF PARTIES James M. Armor {"Claimant") was represented by Edwin L. Sisam, Esq., Minneapolis, Minnesota. PaineWebber, inc. ("Respondent PaineWebber") and Steve Jensen ("Respondent Jensen") were represented by Daniel Qberdorfer, E

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Nancy Watkins and Gregory Lee VanWert and 96-05038 Name of Respondent Westonka Investments, Inc. REPRESENTATION OF PARTIES Nancy Watkins and Gregory Lee VanWert ("Claimants") were represented by Richard I. Diamond, Esq., Diamond, Liszt & Grady, P.A.. Minneapolis, Minnesota. Westonka Investments, Inc. ("Respondent") did not appea

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Kurt Novey Claimant, and No. 96-05034 Dickinson & Co. Respondent. REPRESENTATION OF PARTIES Claimant Kurt Novey, ("Novey") was represented by Robert L. Yeager, III., Esq. located in Dallas, Texas. Respondent Dickinson & Co., ("Dickinson") was represented by Barbara Bennett of Dickinson & Co. located in Des Moines, Iowa. CASE INFORMATION

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-02218 D. Paul Cohen Names of the Respondents Hearing Site: Boca Raton, Florida North American Institutional Brokers, Marcus Konig and Kenneth Lazar Nature of Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES For D. Paul Cohen, hereinafter referred to as "Claimant": Martin H. Kaplan, Esq., Gusrae, Kaplan & Brun

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between David E. Faram and Gayle E. Faram, Jt. Ten. Claimants, and Case No. 96-05031 Charles Schwab & Co., Inc. Respondent. .AtJghWli^.NlW:^ - •: ., Claimants, David E. Faram and Gayle E. Faram were represented by: Ray L. Cox, Esquire located 1 Texas. ' : •- '• ----^ ';'•::• -- -- ;- • < .;•-*-'*-* ->, :,,.- ^ ; ,,^:.;.L^>-- , . .

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between i ; ./ ' - Name of Claimants Patrick Giacomo and Colleen Giacomo Ingram Case No. vs. 96-05022 Name of Respondents Gibraltar Securities Co. Barry Gold REPRESENTATION For Claimants Patrick Giacomo and Colleen Giacomo Ingram ("Claimants") appeared Gregory G. Campisi, Esq. of the law firm Sharkey & Campisi, located in Roseland, New Jersey.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05016 William F. Harrity, Jr., claimant v. Norfolk Securities Corp., Ian Hosang and Christopher Mormando, respondents. ATTORNEYS: Claimant appeared Pro Se - Sarasota, FL. Respondents Norfolk Securities Corp., Ian Hosang and Christopher Mormando did not appear. DATE FILED: November 11, 1996. CASE SUMMARY: Claimant alleged unauthorized trading and price mani

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-05013 Hyman A. Lezell, claimant v. Michael Lipkin and Nutmeg Securities LTD., respondents. ATTORNEYS: Claimant appeared Pro Se - Boca Raton, FL. Respondent Michael Lipkin did not appear. For Respondent Nutmeg Securities Ltd. Matthew Rochlin - Westport, CT. DATE FILED: 11/11/96. CASE SUMMARY: Claimant alleged improper execution, misrepresentation and un

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Margie & Danielle Weinberg 96-05006 Name of Respondent Smith Barney, Inc. REPRESENTATION For Claimants Margie & Danielle Weinberg ("the Weinbergs"): Michael G. Shannon, Esq. of Wallace, Bauman, Fodiman & Shannon, P.A., Coral Gables, Florida. For Respondent Smith Bamey^ffic: ("SmthBairo^ Esq. of Smim'Bameyf Inc.; N