AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Stephen E. Peters v. Arbitration No. 96-05004 Name of Respondents Prudential Insurance Company of America; PRUCO Securities; Steve Adams; Larry Henry REPRESENTATION For Claimant: Michael D. Rudy, Esq., Chun, Rudy & Byrns, Honolulu, Hawaii, and Craig K. Shikuma, Esq., Kobayashi Sugita & Goda, Honolulu, Hawaii For

V -M^OCT. 5.1998 9:32RM NRSD REGULATION FL ' NO.592 P.13 NASD REGULATION, INC. AWARD NASD Regulation,. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name flf Claimant James D. Deason 96-04999 Names of ^Respondents H J, Meyers & Co., Inc. f/k/a Thomas James Associates, Inc. Robert Setteducati Mark Allen REPRESENTATION For Claimant: Dan Brecher, Esq. and Eric Ross, Esq. of the law firm of Fischbein Badillo

r;/ f AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name ofClaimant Bruce W. Bubiick Ltd Retirement Trust 96-04996 Name of Respondent Charles Schwab & Company, Inc. REPRESENTATION For Claimant: The Bruce W. Bubiick Ltd. Retirement Trust ("Bubiick") was represented! by J. William Holland, Esq. of Holland & Holland, located-in Chicago,;'Illinois and A /i !i ^ i Kathle

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Regina & Joseph S. Gulino, JTWROS 96-04990 Name of Respondents John E. Guerriero, Jr. Tasin & Company, Inc. REPRESENTATION Claimants Regina, and Joseph S. Gulino ("claimants") appeared prose. ,,,. u:;.:, , rr For respondent Tasin & Co., Inc. ("Tasin") appeared Alphonse Mekalainas, Compliance Officer for Tasin. :=;;;, Respondent John E. Guerriero, Jr. ("G

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Morgan Stanley Dean Witter, Inc. V. Respondent John T. Kitchar 01-02210 Minneapolis, Minnesota Counter Claimant John T. Kitchar V. Counter Respondent Morgan Stanley Dean Witter, Inc. Third Party Claimant John T. Kitchar V. Third Party Respondents Michael E. Peterson Brookstreet Securities Corporation Round Hill Securities,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between T. Robie Scott and Opal Scott, T. Robie Scott IRA, and Opal Scott IRA, Claimants, and No. 96-04987 Royal Alliance Associates, Incorporated and Francis Kelly, Respondents. REPRESENTATION OF PARTIES ' .• t • : . • . - . ; . . . . " ; " • ' Claimants, T. Robie Scott and Opal Scott, T. Robie Scott IRA, and

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between . - •-•••• Matias K. Bonnier, and Bonnier Motorsports, Inc., Claimants, v. Merrill Lynch, Pierce, No. 96-04983 Fenner & Smith, Inc., Leonard E. DeStefano, Patrick Petsche, and Frank Bodi, Respondents. REPRESENTATION OF PARTIES Claimants Matias K. Bonnier ("Bonnier") and Bonnier Motorsports, Inc.(jointly referred to as "Claimants") were represented by James F

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Louis D. Giacalone 96-04980 Names of Respondents Greenway Capital Corporation Guiseppe Temporino Jason Anthony Prussing REPRESENTATION For Claimant Louis D. Giacalone ("Claimant") appeared John J. Lynch, Esq., a private practitioner with offices located in New York, New York. Respondent Greenway Capital Corporation ("Greenway") did not enter an appe

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds Inc. 96-04978 Name of Respondents Legg Mason Wood Walker, Inc. Peter V. Caruso Robert M. Cotter Michael S. Kelleher Mark G. Cote REPRESENTATION For Claimant Dean Witter Reynolds ("Claimant" or "Dean Witter") appeared Pete S. Michaels, Esq. and Neal F. Splaine, Esq. of the firm Murphy, MacKenzie, Michaels & Sullivan, LLP, located i

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between 1 First of Michigan Corporation Claimant and Counter-Respondent, v. Case Number 96-04977 Securities America, Inc. Respondent and Counter-Claimant. REPRESENTATION OF PARTIES Claimant and Counter-Respondent First of Michigan Corporation ("Claimant" or "FOM") was represented by John A. Hubbard, Esq. of Alan R. Miller, P.C. located in Birmingham, Michig