I / N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04863 Ronald LaBella, claimant vs, A.S. Goldmen & Co. Inc., respondent. ATTORNEYS: For Claimant appeared William P. Torngren, Esq., Old Sacramento, CA. For Respondent appeared Carole R. Bernstein, Esq., Norwalk, CT. DATE FILED: November 1, 1996 CASE SUMMARY: Claimant alleged failure to supervise, breach of fiduciary duty and unauthorized sale of Sp

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Estate of Vera I. Vitt, by James J. Anders, Personal Representative 96-04858 Name of Respondents J.J.B. Milliard, W.L. Lyons, Inc. Richard C. Hirschl REPRESENTATION For Claimant: Estate of Vera I. Vitt, by James J. Anders, Personal Representative ("Vitt") was represented by Isadore I. Lamke, Esq., located in Washington, Missouri. For Respondents: JJ.B.

NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard A. Colan 96-04855 Name of Respondents GKN Securities Corp. L. J. Obenauer REPRESENTATION Claimant Richard A. Colan ("claimant") appeared pro se. For Respondent GKN Securities Corp. ("GKN") appeared Katherine Nathan, Esq., GKN Securities Corp., New York, N.Y. Respondent L.J, Obenauer ("Obenauer") did not appear at

04*27/98 MON 11:06 FAX NASD REGULATION ig|013 AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Stephen Roach, Jr., and Dorothy A. Roach, Claimants, v. No. 96-04852 Dean Witter Reynolds, Inc., and. Giovanni Volpe, Respondents. REPRESENTATION OF PARTIES i Claimants Stephen Roach, Jr. and Dorothy A. Roach ("Claimants'*) were represented by Anthony V. Trogan, Esq. of Weisman, Trogan, Y

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-04847 Nicholas Freund, claimant vs. Meyer Pollock Robbins, Inc and Todd Steel, respondents. ATTORNEYS: Claimant appeared Pro Se. - Walnut Creek, CA. For Respondent Me^er Pollock Robbins, Inc appeared Louis H. Miron, Esq. - Westfield, NJ. Respondent Todd Steel appeared Pro Se - Fort Lauderdale, FL. DATE FILED: 10/31/96 CASE SUMMARY: Claimant alleged unsuita

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between James S. Sanger and Sarah S. Sanger, Claimants, and No. 96-04846 Charles Schwab & Co., Inc., Respondent. REPRESENTATION OF PARTIES Claimants, James S. Sanger and Sarah S. Sanger, were represented by James R. Eagleton, Esquire of Eagleton, Eagleton & Harrison, Incorporated, located in Tulsa, Oklahoma. Respondent, Charles Schwab & Company, Incorporate

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lawrence P. Stern 96-04841 Spencer-Winston Securities Corporation Jason Weisz REPRESENTATION Claimant Lawrence P. Stern ("claimant") appeared pro se. Respondent Jason Weisz ("Weisz") appeared pro se. For Respondent Spencer-Winston Securities Corporation ("SWS") appeared Oscar Echman, a partner of SWS which is located

N.A.S.D.REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Daniel Murphy 96-04835 Name of Respondents Dean Witter Reynolds Inc. Samuel Robert Swindells CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on October 30, 1996, claimant Daniel Murphy ("claimant"), through his representative and counsel Douglas Lally, Esq., a sole pra

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Charles Draper, Jr., Charles Draper, Sr. and Draper Machine Works, Inc. (a Washington Corporation) Arbitration No. 96-04834 Name of Respondent(si Daniel M. Porush REPRESENTATION For Claimants: Christopher B. Wells, Esq., Lane Powell Spears Lubersky LLP, Seattle, Washington For Respondent: Mark E. Gelfand, Esq

AWARD National Association of Securities Dealers Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Carolyn Dodd, Claimant. v. Case Number 96-04831 Royal Alliance Associates, Inc. and Francis Kelly, Respondents. REPRESENTATION OF PARTIES Claimant, Carolyn Dodd was represented by Gary Barket, Esquire and Charles Darwin "Skip" Davidson, Esquire of The Davidson Law Firm, Ltd. located in Little Rock, Arkan