AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Joan M. Raymer. Claimant. v. No. 96-04612 First of Michigan Corporation, and Todd Wynn, Respondents. REPRESENTATION OF PARTIES Claimant Joan M- Raymer ("Claimant") was represented by Anthony P. Gauthier, Esq^an&M.: Bridget Gleason, Esq; of Weathers & Richardson, P.C. located in Grand Rapids. MichiganOu;*-^ Respondents First of Michigan Corpo

1 ' N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OFilECURmES DEALERS REGULATION. INC. CASE: 96-04609 Sanford N. Evenchik, claimant v. Norfolk Securities Corp. and Valeay Golberg, respondents. ATTORNEYS: For Claimant Claimant appeared Pro Se. - Orange Village, OH. Respondent Norfolk Securities Coip. did not appear. For Respondent Valery Golberg appeared Kenneth Gate, Esq. - New York, NY. DATE FILED: 10/16/96. CASE SUMMARY: Claimant alleged

HhY.13.1999 8=27AM NO.973 P.13 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of ("i Bahrain and Mma Khoobehi 96-04608 Name of Resoorident Raymond James & Associates, Inc. REPRESENTATION For Claimants: L. Jerome Stanley, Esq., Baton Rouge, Louisiana. For Respondent; George L. Gueira, Esq., Associate Corporate Counsel, Raymond James & Associates, Inc. ("Raymond James 11 ) CASE INFORMATION Statem

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant William J. Tierney 96-04606 Name of Respondent Interacciones Global, Inc. REPRESENTATION Claimant William J. Tierney ("Claimant") was represented by Stuart Perlmutter, Esq., Davidoff & Malito, New York, NY. Respondent Interacciones Global, Inc. ("Respondent") was represented by Neil P. Forrest, Esq.,

t .,< * AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between William Gilroy, Claimant. v. No. 96-04604 J. Gregory & Company, Sterling Foster & Co., Inc., William E. Scuteri, Thomas Gebbia. and Vincent M. Carelta, Respondents. REPRESENTATION OF PARTIES Claimant William Gilroy ( ifc Claimant") was represented by Steve J. Weiss, Esq. and Miles D. Hart, Esq. of Hertz, Schram & S

STIPULATED AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimants) Peter Bann Name of Respondent(s) First Associated Securities Group, Inc. Carl Martellaro First Securities USA, Inc. Jay Dugan Larry Miller Arbitration No. 96-04601 For Claimant: For Respondent: REPRESENTATION Scott Bernstein, Esq. Sacramento, California Patrick Baldwin, Esq. Menlo Park, California CASE INFORM

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of ClaimanUs) Mark Christiansen v. Arbitration No. 96-04599 Name of Respondents) Dickinson & Co. Donald Harwell Rial Burnett REPRESENTATION For Claimant: C. Keith Greer, Esq. San Diego. California Kor Respondents Dickinson & Co. And Rial Burnett: Barbara E. Bennett. Esq. Dickinson & Co. Des Moines. Iowa Responde

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Continental Broker-Dealer Corp., (Claimant) vs. Lee Shapiro, (Respondent) Case Number: 01-02172 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Continental Broker-Dealer Corp., hereinafter referred to as "Claimant": Dominick Bianco, Executive Vice President and Chief Compliance Officer, Continental Broker-Dealer Corp., Carle Place, NY. Previously represent

N.A.S.D. AWARD y . NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John B. Malone 96-04598 Name of Respondent Euro American Capital Corporation James Famell Cross Financial Services, Inc. InterCapital Funding Corporation Delaware Charter Guarantee & Trust Company REPRESENTATION The Claimant appeared pro se. The Respondent James Farnell appeared pro se. For Respondent In

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Arleen Maas, TTEE/Maas Family Revocable Trust and Arbitration No. 96-04597 Name of Respondents Berman & Stickel, Inc. Allen Berman Mark Stickel Susette Stickel Linda Olson 7 v REPRESENTATION OF PARTIES Scot D, 'Bernstein, ^Sacramento, California. - - — - - --:-••'•-•-.- ---- ; _^- -./ - - --' L^_^