AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Gerald Tarvis and Bemice Tarvis Trust, Nancy Paull, Individually and as Trustee of the Trust and John D. Tarvis, Individually, and as Trustee of the Trust, Claimants, v. No. 96-04755 Kemper Securities, Inc., Dean Witter Reynolds, Inc., and Thomas Gerald Tarvis, Respondents. REPRESENTATION OF PARTIES Claimants Gerald Tarvis and Bernic

AWARD NASD REGULATION, INC, OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Beth Babich Zielinski 96-04753 Name of Respondents Quick and Reiily, Inc.; John A. Masi, Sr. REPRESENTATION For Claimant: Beth Babich Zielinski ("Zielinski") was represented by James D. Adduce^ Esq. and Marshall L Blankenship, Esq. of Adducci, Dorf, Lehner, Mitchell & Blankenship; P.C., located in Chicago, Illinois, ••'• .--

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant "•»• ' - ., -„ Peter H. Stockmann 96-04746 o Respondents •« *•***»! HI -'•' Euro-Atlantic Securities, Inc. J.P. Milligan, Inc. Alphonse Seddio, Jr. Claimant Peter H. Stockman ("Claimant") appeared pro se. For Respondent Euro-Atlantic Securities, Inc. ("Euro-Atlantic") appeared Robert Carlin, Esq,, in-house counsel for Respondent Euro-Atlantic locate

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Young Pil Kim, Claimant v. Morgan Stanley Dean Witter, Inc., Gapsik Choo and Gene Pak, Respondents Case Number: 01-02186 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Marc I. Zussman, Esq. Law Offices of Marc I. Zussman, Esq. Los Angeles, California For Respondents: Keith Guilfoyle, Esq. Morgan Stanley Dean Witter, Inc. New York, New Y

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Eric Vitola 96-04744 Name of Respondents Corporate Securities Group, Inc. William Braun Thomas Campo CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on October 24. 1996, claimant Eric Vitola ("Vitola"), who appeared Pro Se, alleged that respondents Corporate Securitie

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Brian P. McMahon 96-04743 Name of Respondents Kedem Capital Corporation Paul Haney REPRESENTATION For Claimant Brian P. McMahon appeared John £. Lawlor, Esq., a sole practitioner located in Mineola, New York. For Respondents Kedem Capital Corporation ("Kedem") and Paul Haney ("Haney")(o>Hecdvfely referred to as "Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hansjorg Heinrich Lumpi NASD CASE NO. 96-04736 Names of Respondents Raymond James & Associates, Inc. BiHJ. Short, H Stephen Trigg Kuhn Joseph Tuorto REPRESENTATION For Claimant: James L. Karl, II, Esq. of James Karl & Associates, Marco Island, Florida. For Respondents: Paul L. Matecki, Esq., Corporate Counsel of Raymond

NASD REGULATION, INC. AWARD BEFORE THE NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. OFFICE OF DISPUTE RESOLUTION RAY TRADING, INC., Claimant, v. LEHMAN BROS., INC., Respondent. NASD File Number 96-04735 For Claimant: For Respondent: REPRESENTATION Lloyd Kadish Lloyd Kadish & Associates, Ltd. Chicago, IL 60603 William Olshan Lehman Bros., Inc. New York, NY 10285 CASE INFORMATION Statement of

NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant ( s } Joseph D. Lee Arbitration No. 96-04730 Name of Respondent(s) Richard B. Haimowitz Jordan R. Belfort REPRESENTATION For Claimant: Thomas L. Lee, Esq., Cheyenne, Wyoming For Respondent Richard S. Haimowitz: Richard S. Haimowitz, Merrick, New York For Respondent Jordan R. Belfort: Jordan R. Belfort, Bayside, New York CASE INFORMATION Statem

NA.&.D. AWARD NASD Regulation Inc. Office of Dfcpute Isolation Fred Suwpoi and Sally Ann Snsann NASD CASE NO. 964*729 Prudential Securities Incorporated, Cecfl G. McGsvern and Rod Olson For Claimant!: Stephen Murphy, Esq. of Pino & Dido, Logwood, Florida. For Respondents: Janet V.MdEenna, Vice Prewfeot/Ass^ Incorporated. OnNovraberiS, 1997, NASD Regulation, Inc. received notice of sub«itutum as co«mel for Respondents by Frederick S. 5chfBs» Eiq.