* I* APR.28.1998 3:05PM NASD REGULATION FL NO.915 P.7/14 NASD REGULATION, INC. AWARD Office of Dispute Resolution in the Matter of the Arbitration Between Names of Claimants Kenneth W. Brown Wendy W, Brown Case No. 96-04909 Names of Respondents Winthrop Securities Co., Inc. Jonathan Wexler Bert J. Gilbert Charles R. Levy Ronald E, Millard, Jr. Lee Roeder Thomas Trkla REPRESENTATION OF PARTIES For Claimants; Russell L.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS tn the Matter of the Arbitration Between , Name of Claimant Scott Daiagi 96-04908 Name of Respondent Investors Associates, Inc CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on November 4, 1996, claimant Scott Daiagi ("claimant"), who appeared Pro Se, alleged that on or about June 2, 1995, he purchased 1500 shares of New Day Be

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Cullom & Sandow Securities, Inc., Claimant, and No. 96-04904 Richard Wayne Wells, St., Respondent. REPRESENTATION OF PARTIES Claimant Cullom & Sandow Securities, Inc. ("CSS") was represented by Richard L..-Sandotv of Cullom & Sandow Securities, Inc. located in Roanoke, Texas. ^ .': Respondent Richard Wayne Wells, Sr. ( "Wells") represented himself.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04902 Ernest E. Kemp, claimant v. Smith Barney Inc. and Robert D. Handen, respondents. ATTORNEYS: For Claimant G. Mark Brewer, Esq. - La Jolla, CA. For Respondents Ann Parry, in-house counsel - New York, NY. DATE FILED: November 4, 1996. CASE SUMMARY: Claimant alleged breach of fiduciary duty, negligence, unsuitability, breach of contract and failu

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jean Ward Trustee Jean Ward Living Trust, Claimant v. Pacific Coast Financial Securities, Eric Morandini, Don Morandini and Thomas Gans, Respondents. Case Number: 96-04899 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Jean Ward In Pro Per Pasadena, California Statement of Claim filed: October 30,1996 Claimants Uniform Submission Agreement si

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Matthew Thaller, Claimant, v. No. 96-04888 Prudential Securities, Inc., f/k/a Prudential Bache Securities, Inc., Alphonso J. Esparza, Gail B. Dellinger, and Troy Sumrall, Respondents. REPRESENTATION OF PARTIES Claimant Matthew Thaller ("Claimant") was represented by Dean J. Favret, Esq. of Favret, Demarest, Russo & Lutkewitte located in

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Robert HassJer 96-04887 Name of Respondents Lawrence D. Jahn Landmark International Equities REPRESENTATION For Claimant: David H, Zimmer, Esq. Greenwich, CT For Respondent Lawrence D. JaJur IraS^Newman, Esq. , v Great Neck, NY Respondent Landmark International Equities did not file an ap

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 96-04884 Name of Respondent Philip R. H. Connor, III Consolidated With In the Matter of Arbitration Between Name of Claimant Prudential Securities, Inc. 96-04886 Name of Respondent Anastasio Carayannis REPRESENTATION For Claimant Prudential Securities, Inc. ("PSI" or "Claimant") appeared Stephen Rattner, Esq.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Cuong Ba Le Case No. 01-02205 Morgan Stanley DW Inc. Hearing Site: Philadelphia, PA OF Claimant, Cuong Ba Le ("Le"), hereinafter referred to as "Claimant": Ernest Sasso, Esq., Law Offices of Ernest Sasso, Blue Bell, Pennsylvania. Respondent, Morgan Stanley Dean Witter ("Morgan Stanley"), hereinafter referred to as "Respondent": Richard Smith, Esq., Morgan Stanley De

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Leonard A. Calderone, Pamela K. Calderone, David A. Vore, Rosalie D'Amico, Maurice C. Latimer, and Larcia A. Latimer and 96-04879 Name of Respondent SunAmerica Securities, Inc. Name of Third-Party Respondent Michael A. Duby REPRESENTATION OF PARTIES Leonard A. Calderone, Pamela K. Calderone, David A. Vore, Rosalie D'Amico, Maurice C. Latimer., and L