•J , 4 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant-Counterrespondent Angelo Gordon & Co., L.P. 96-04878 Name of Respondent-Counterclaimant Jeffrey Eisenberg Names of Third Party Respondents John M. Angelo Michael L. Gordon REPRESENTATION Claimant Angelo, Gordon & Co., L.P. ("Claimants") was represented by Joel J. Bellows, Esq. and Nicholas P. Ivarone, Esq. of the law firm of Bellows &

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants William Arlington, Susan Arrington, W. Rodney Flanary, MD, John LaPrad, John McFarland, Julia McFarland, Julia McFarland c/f Alexis McFarland, Christopher C. McFarland, Julia McFarland c/f John L. McFarland, and Earl Passwaters and Case Number 96-04877 Names of Respondents Josephthal Lyon & Ross, Inc., Thomas F. Doran, and Kenneth

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between* Name of Claimant Olde Discount Corporation 96-04876 Name of Respondents William and Leslie Long CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on November 1, 1996, claimant Olde Discount Corporation ("Olde" or "claimant") through its representative and in-house counsel Robert Anders

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Maxine Martincich 96-04875 Names of Respondents John Wohlberg Sovereign Equity Management Corp. I - J For Claimant: Richard R. Logsdon, Esq. of Clearwater, Florida and Allan J. Fedor, Esq. of the law firm of Fedor & Fedor of Largo, Florida. The Respondents were represented by Thomas W. Hands, Director of Compliance, Soverei

r NOV.15.,1998 8= 52PM NfiSD REGULATION FL p _ 10 N.A.S.D. REGULATION, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between v Names of Claimants ' « Michael C. Williams and M. Elizabeth Williams : 96-04873 i Names of Resmmdents Robert W. Baird & Co., toe. Thomas 1. Linzmeier y ^ REPRESEPJTATION For Claimants: Patrick A. Davis, Esq. of the law firm of Patrick A. Dav

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William P. Brotherton 96-04868 Name of Respondents Dean Witter Reynolds, Inc. Bardyl Quku REPRESENTATION Claimant William Brotherton appeared pro se. For Respondents: James D, Yellen^Esq. pf Dean Witter Reynolds, Inc., New York, NY. CASE INFORMATION Statement of Claim filed: November 4, 1996. Claimant's Submission A

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Kathleen Lo Re, Claimant, and Case Number: 96-04866 Merrill Lynch, Pierce, Fenner & Smith, Inc., Henry Otten, Respondents. REPRESENTATION OF PARTIES Claimant Kathleen Lo Re ("Claimant") was represented by Mark E. Sanders, Esq. and Mary Beth Peranteau, Esq. of Hailing & Cayo, S.C. located in Milwaukee, Wisconsin. Respondents Merrill Lynch, Pi

ARBITRATION AWARD NASD REGULATION, INC., OFFICE-OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Donald G. Wilson 96-04865 Name of Respondents Sterling Foster & Co., Inc.; Charles Volpe; Phil Valentin; Adam Lieberman;.and James Buschle REPRESENTATION For Claimant: Donald G. Wilson was represented by Robert J. Kuker, Esq. of Neal Gerber & Eisenberg, located in Chicago, Illinois. For Respondents

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard A. Swanson and 96-04864 Name of Respondent Robert Thomas Securities, Inc. James Steinkirchner REPRESENTATION OF PARTIES Richard A. Swanson ("Claimant") was represented by Robert R, Nardi, Esq., Willeke & Daniels, Minneapolis, Minnesota. Robert Thomas Securities, Inc. ("Respondent Robert Thomas") and James Steinki

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Proceeding Between May Financial Corporation, Claimant, Vs. Development Consulting, Inc., Respondent. Case Number: 01-02204 Hearing Site: Cleveland, Ohio REPRESENTATION OF THE PARTIES Claimant May Financial Corporation ("May") was represented by Corbet F. Bryant, Jr., Esquire, of Carrington, Coleman, Sloman & Blumenthal, Dallas, Texas. Respondent Developm