AWARD NASD Regulation, Inc. Office of Dispute Resolution in the Matter of the -Arbitration Between Joan Hutchison Claimant, and No. 96-04128 Dorsey & Company, Inc., and Steven Reub, Respondents, REPRESENTATION OF PARTIES Claimant Joan Hutchison ("Claimant") was represented by Jeffrey A, Schwartz, Esq. and Audrey N. Browne, Esq. of Schwartz & Browne, L.L.C. located in New Orleans, Louisiana. Respondents Dorsey & Company, Inc. ("Dorsey") a

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Eileen P. Will 96-04127 Names of Respondents Laidlaw Equities, Inc. Christopher Duncan Hell Robert C- Delaplain John A. Tornmasini REPRESENTATION For Claimant Eileen P. Will ("Claimant") appeared Sanford B. Potters. Esq.. a sole practitioner located in New York, New York. Tor Respondents Laidlaw Equities. Inc. O.aidl

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant James M. Jordan, as custodian 96-04126 Name of Respondent Olde Discount Corporation CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on September 16. 1996, claimant James Jordan custodian for his son Collin Jordan (hereafter referred to as "claimant or

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Joseph Charles & Associates, Inc. Case No. 96-04122 Names of Respondents Landmark Commodities, Inc. d/b/a Landmark Internationa] Equities William Nunziato Eric Aronson William Jordan REPRESENTATION OF PARTIES For Joseph Charles & Associates, Inc. ("Claimant"): Charles Snow, Esq. of Snow Becker Krauss P.C., New York, NY. For Eric Aron

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Mame of Claimants Barry Goodwin & Carol Goodwin 96-04120 Name of Respondents Stratton Oakmont, Inc.; Carl Anthony Sampogna; Michael Joseph Albino; Daniel Mark Porush REPRESENTATION For Claimants: Barry Goodwin and Carol Goodwin were represented by James F. Monafo, Esq. of Husch & Eppenberger, located in St. Louis, Missouri. For Resp

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Beverly Sidell-Fish and 96-04118 Name of Respondents Sutro & Co., and Mark K. Lammers REPRESENTATION OF PARTIES Beverly SideH-Fish( rt Claimant n ) was represented by David Anson, Esq., of DeConcini, McDonald, Brammer, Yetwin & Lacy, Tucson, Arizona. Sutro & Co., Incorporated ("Sutro") and Mark K. Lammers ("L

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Ray-Min Lin and Cecilia Lin v. Arbitration No. 96-04115 Name of Respondents Titan/Value Equities Group, Inc. and Dale F. Jackson REPRESENTATION For Claimant; Jerome Sapiro, Jr., Esq. The Sapiro Law Firm San Francisco, California For Respondent: Craig R. Bockman, Esq. Jones, Bell, Abbott, Fleming & Fitzg

n V~ "~ NASD DISPUTE RESOLUTION AWARD ' NASD DISPUTE RESOLUTION, INC. CASE: 01-02134 JOEL POTASZNIK, TRUSTEE, AND KAREN POTASZNIK, TRUSTEE, Claimants vs. DREYFUS BROKERAGE SERVICES, INC., Respondent. ATTORNEYS: For Claimants Joel Potasznik, Trustee and Karen Potasznik, Trustee Claimants participated Pro Se. Respondent Representative: Kevin Kisiel, Compliance Specialist. DATE FILED: 4-27-01 ~~ ~~~~ CASE SUMMARY: Claimants Joel Potasznik,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Warren Herman 96-04111 Name of Respondents Nationwide Securities Corporation David Lavender Marco Fiore Howard Zelin Name of CrossclaJrn Claimant David Lavender Name pf foossclaim Respondent Nationwide Securities Corporation CASE SUMMARY [n a case filed with the National Association of Securities Dealers Reg

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant^ Mary Mortell v. Arbitration No. 96-04108 Name of Respondents) LaJolla Securities Corporation, Inc. Bruce Biddick Richard L. Goodrich REPRESENTATION For Claimant: Maria J. Seedner, Esq., San Diego, California For Respondents La Jolla Securities and Bruce Biddick: Richard R. Leuthold, Esq., San Diego, California