AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Nina Armstrong, individually, Nina Armstrong, Co-executor of the Estate of MaryJane Gillig, James P. Gillig, Co-executor of the Estate of MaryJane Gillig, Estate of MaryJane Gillig and Arbitration No. 96-04596 Name of Respondent Prudential Securities, Inc. Loren "Biz" Obley REPRESENTATION OF PARTIES The Claimants wer

AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Ed Carlton and Mary Carlton Claimants NASD Regulation, Inc. v. No. 96-04592 Steven Goldstein and S.G. Financial Group, Ltd. Respondents REPRESENTATION OF PARTIES Ed and Mary Carlton ("Claimants") were represented by Scot D. Bernstein, Esq., Law Offices' 6f Scot D. Bernstein, Sacramento, California. ' r : : ;..:;,:*• Steven Goldstein

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Mary A. Pourciau, Claimant, v. No. 96-04589 Paine Webber, Inc., and Everett B. Gibson, Jr., Respondents. Claimant Mary A. Pourciau ("Claimant") was represented by Louis L. Plotkin, Esq. of Gertler, Gertler, Vincent & Plotkin, L.L.P. located in New Orleans, Louisiana. Respondent- Paine Webber; Inc. ("Paine Webber") was represented by George C. Fr

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Alex Feldman 96-04587 Name 01 Respondents Joseph Dillon & Company Inc. Steven Jaloza Salvatore Fradella Oleg Ferdman REPRESENTATION =BM^B^M^^^C:^^^^^^^E t For Claimant Alex Feldman ("Claimant") appeared Shari B. Kibel, Esq. and Martin P; Utig*ri'-Esq.-6f* ^.',*?-•< the firm Tenzer Greenblatt, LLP, located;,«r New

In the Matter of the Arbitration Between Namg of (Tlaimant Daniel E. Johnson Nae 96-04580 Smith Bainey Inc. REPRESENTATION Claimant Daniel E. Johnson ("claimant") appeared pro sc. For respondent Smith Baraey, Inc. ("respondent") appeared Christopher B. < ^MaBfcy,-Esq, of Smith Barney, Inc. CASE Statement of Claim was filed on; October 10, 1996, Claimant's Submission Agreement was signed on: November 9, 1996. Statement of Answer was fi

AWARD NASD Regulation, Inc. Office of Dispute Resolution , ; I 'J In the Matter of the Arbitration Between Name of Claimant Robert & Claudia Beauprez and Joseph & Maria Beauprez and 96-04579 Name of Respondent Jinco Securities, Inc. Wayne F. Morrison Jinco Leasing Corp. .REPRESENTATION OF PARTIES . Robert^jCraiidiaBeauprez.aridJoseph & Maria Beauprez.("Claiihants M ) ;J : ; • ^ Jinco Securities, Inc. ("Respondent

t 1 In the Matter of the Arbitration Between Name of Claimant Leo D. Beitner 96-04576 Name of Respondents Herzog, Heine, Geduid, Inc. Greenway Capital Corporation Mayer Amsel Harvey Wacht Aaron Brandwein National Financial Services Corporation REPRESENTATION For Claimant Leo D. Beitner ("Claimant") appeared Jerome Olitt of Arbitration and Mediation Specialists, Inc. with offices located in Stamford, Connecticut. For Respo

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) Harold Gladstone, Trustee for the Harold Gladstone Trust v. Arbitration No. 96-04573 Name of Respondents) Financial Information Centers Jerry L. Mathis REPRESENTATION For Claimant: Scot D. Bernstein, Esq. , - _ . _ _ ......_.___.____^__ Sacramento, California For Respondent Financial Information Center

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael J. Derivan IRA, (Claimant) vs. First Union Securities, Inc. and Jonathan P. Gottlieb, (Respondents) Case Number: 01-02170 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Michael J. Derivan IRA, hereinafter referred to as "Claimant": Jonathan J. Klein, Esq., a sole practitioner, Bridgeport, CT. Respondents, First Union Securities, Inc. ("FUS") a

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Prudential Securities Incorporated Claimant, and No. 96-04572 Miguel Anibal Mi II an, III Respondent. REPRESENTATION OF PARTIES Claimant, Prudential Securities Incorporated ("PSI") was represented by: David S. Sterttngggsg^fideniid Secunti bakef& Botts in Houston, Texas. ;: i .r»kc'r.«& Bou? in Houston; : I Respondent* Miguel Anibal