In the Matter of the Arbitration Between Name of Claimant ' Ravinder Sawhney Case No. vs 96-04699 Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. vs Third-Party Respondents Prudential Securities, Inc. Saranleen Sawhney REPRESENTATION For Claimant Ravinder Sawhney ("Claimant") appeared David E. Robbins, Esq., of the law office Kaufmann, Feiner, Yamin, Gildin & Robbins located in New York, New York. For Respondent Merr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael K. Green and Margaret M. Green Name of Respondents j^, esSMMM^^VH^iMriBsaaMH Investors Associates, Inc Keith Grossman ~~x 96-04696 CASfE SUMMARY t In a case filed with the National Association of Securities Dealers Regulation, Inc. on October 22, 1996, claimants Michael Green and Margaret Green ("claimants") wh

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Summit Investment Corporation and 96-04695 Name of Respondent Terry Halonen REPRESENTATION OF PARTIES Summit Investment Corporation ("Claimant") was represented by Joseph D. Fleming, Esq., Summit Investment Corporation, Minneapolis, Minnesota. Terry Halonen ("Respondent") appeared pro se. CASE INFORMATION The Statement o

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Joseph Fierro vs. 96-04690 Name of Respondents T.L. Group, Inc. Penson Financial Services, Inc. Jeffrey Ihm REPRESENTATION Claimant Joseph Fierro ("claimant") appeared Pro Se. Respondents T.L. Group, Inc. ("TLG") and Jeffrey Ihm ("Ihm") did not appear at the evidentiary hearing conducted in t

NASD REGULATION AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Mae and Elaine Beth Leass 96-04688 Name of Respondents Smith Barney Inc. Gerard Rubsam REPRESENTATION Claimants Mae and Elaine Beth Leass ("Claimants"), appeared pro-se. For Respondent, Smith Barney Inc. ("Smith Barney") and Gerard Rubsam ("Rubsam") (collectively the "Respondents") appeared Ann Parry, Esq., in-house-counsel located in N

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-04687 GVG, Inc. Defined Benefit Pension Plan, claimant v. Paine Webber, Inc. and Clyde Duran, respondents. ATTORNEYS: For Claimant Appeared Gunther Von Gotsche, Trustee - Denver, CO. For Respondents Appeared Lisa Catalano Tillem, Esq. in-house counsel - Weehawken, NJ DATE FILED: October 21, 1996. CASE SUMMARY: Claimant alleged respondents failed to

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04684 Olde Discount Corporation, claimant v. Kirk Wright, respondent. ATTORNEYS: For Claimant Steven D. Carby, Esq. - Detroit, MI. Respondent did not respond to the Statement of Claim. DATE FILED: 10/21/96 CASE SUMMARY: Claimant alleged that respondent failed to pay for 1500 shares of Media Vision Technology, Inc. stock which were subsequently sold by

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Rezaul H. Khandker 96-04683 Name of Respondent Investors Associates, Inc CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on October 21,1996, claimant Rezaul H. Khandker ("claimant"), who appeared Pro Se, averred that his relationship with respondent

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04681 Thomas O. Wulf, claimant vs. Global Strategies Group, Inc., Lehman Brothers, Inc. and Kurt Fethke, respondents. ATTORNEYS: For Claimant Mark A. Jinkins, Esq., Sturgeon Bay, WI For Respondent Global Strategies Group, Inc., Kathleen Parker, In-house counsel Respondent Kurt Fethke did not respond to the Statement of Claim DATE FILED: October 21, 199

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04679 Peter Menges and Gregory Pettine, claimants v. Daryn Harpaz, Jr., Brian Cork, Michael Davis, Lionheart Financial Group, Inc., Valiant Partners, Inc. and Wellington Ashford Capital, Inc., respondents. ATTORNEYS: Claimants Peter Menges and Gregory Pettine appeared Pro Se. For Respondents Daryn Harpaz, Jr. appeared Pro-se. For Brian Cork appeared Anna M