J t / w y / T- -j AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between ISIame. of Claimants Jesse and Elizabeth Moroni 96-04932 Name of Respondents Michael Tippi, Blunt, Ellis & Lowei, Inc., . n/k/a EVEREN Securities, Inc., John Uffleman, and Clearing Services of America s REPRESENTATION Jesse and Elizabeth Moroni ("Claimants") were represented by Charles C. FQnes, Esq., Carbondale, Illinois. Blunt, El

NASD SEGDTATTQN. TWC. . OFFICE OP DTSPTTTE RESQLPT1OK In the matter of the Arbitration Between Name of Claimant fs) Stephen T. Turley Arbitration No. 96-04927 Name of Rpgpondent fs) Gateway Financial Group, Inc. as The Agean Group, Inc.) Richard Coates (now known For Claimant: Dennis R. Villavicencio, Esq., Law Offices"of : tJbhn Lawrence Allen, Carlsbad, California • :- - For Respondent Gateway Financial Group, Inc. : Es

NASD REGULATION, INC. AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Sandra W. Randleman Nancy E. Burnett 96-04925 Name of Respondent New York Life Insurance Company REPRESENTATION For Claimant Sandra W. Randleman and Nancy E. Burnett ("Claimants"): Sandra W. Randleman For Respondent New York Life Insurance Company ("Respondent"): George K. Evans, Jr., Esq. of the law

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE JRJESOLUTION In the Matter of the Arbitration Between Name of Claimant Rickel & Associates, Inc. 96-04916 Name of Respondent Howard Silverraan REPRESENTATION For Claimant Rickel & Associates, Inc. ( claimant) appealed Peter Scideru Esq. of Schneck, Weltmatt, Hasmall & Miscbel, New York. New York. For Respondent Howard Silverman ( respondent) appeared Marc D. Powers. Esq. of Parker, Duryee, Ro

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Robert W. Smith v. Arbitration No. 96-04915 Name of Respondent!^ Landmark International Equities Brett Fahlikman Howard Berger Yuri Aulov REPRESENTATION Claimant represented himself in this matter. For Landmark International Equities: No appearance. For Brett Fahlikman: Robert Bertsch, Esq. Port Washi

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04914 John L. and Elaine E. Miller, claimants v. Lew Lieberbaum & Co., Inc. and Fred M. Dorushkm, respondents. ATTORNEYS: For Claimants Claimants appeared Pro Se. - McKinney, TX. For Respondents Chase Caro, Esq. - New York, NY. DATE FILED: November 4, 1996. CASE SUMMARY: Claimant alleged misrepresentation, unauthorized trading/commissions; omission of

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants James D. Wannigman and Melissa J. Wannigman 96-04913 Name of Respondents Sterling Foster & Co., Inc. Michael Sabato CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on November 4, 1996, claimants James D. Wannigman and Melissa J. Wannigman, by James

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Gregory A. Fauerbach Name nf the Respondp.nts First Liberty Investment Group; and Ramsey T. Carpen Case Number 01-02206 Hearing Site: Milwaukee, Wisconsin OF Claimant Gregory A. Fauerbach ("Fauerbach") was represented by Arthur S. Leider of Investors Arbitration Specialists, located in San Diego, California. Respondent First Liberty Inv

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-04912 Robert & Monica Lemus, claimants v. Spehnan & Co., Inc., respondent. ATTORNEYS: For Claimants Claimant appeared Pro Se. - Escondido, CA. For Respondent Houston Goddard in-house-counsel - San Diego, CA. DATE FILED: 11/4/96 CASE SUMMARY: Claimants alleged negligence and breach of fiduciary duty in sale of shares in a private placement. Clai

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James Wong 96-04910 Name of Respondents Investors Associates, Inc Adam Massilh Becky Nunez CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on November 4, 1996, claimant James Wong ("claimant"), who appeared Pro Se, alleged that respondents Becky Nunez ("Nunez"